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STATUTES, REGULATIONS &
 COMMISSION POLICY CHANGES

• Alabama Securities Act  (Chapter 6)
    

• Sale of Checks Act  (Chapter 7)
    

• Rules of the Alabama Securities Commission
  830-X-3-.05(3) Statement Of Financial Condition
  830-X-3-.14(1)(m) Records Required Of Registered Dealers
  

• Policy Statements

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