Alaska Administrative Code
Title 3 - Commerce, Community, and Economic Development
Part 1 - Banking, Securities, Small Loans and Corporations
Chapter 08 - Securities
Article 1 - Registration, Notice, and Regulation of Broker-Dealers, Agents, State Investment Advisers, and Federal Covered Advisers, and Investment Adviser Representatives
- 3 AAC 08.005 - Scope
- 3 AAC 08.007 - Applicability of registration requirements to supervised persons of state investment advisers
- 3 AAC 08.010 - Registration; notice; exemptions to registration; waivers for dual representation
- 3 AAC 08.011 - Initial applications and notices; effective dates of applications and notices
- 3 AAC 08.012 - Exemptions from qualifying examination
- 3 AAC 08.013 - Qualification requirements for registration of investment adviser representatives
- 3 AAC 08.014 - Renewal of registration or notice; effective date of renewal or notice
- 3 AAC 08.015 - Fees and assessments
- 3 AAC 08.016 - Transferred or successor registration or notice
- 3 AAC 08.017 - Central registration depository system
- 3 AAC 08.018 - Amendments to filings
- 3 AAC 08.020 - Financial reports of broker-dealers (Repealed)
- 3 AAC 08.021 - Financial reports, minimum capital requirements, bonds, and record keeping requirements of broker-dealers
- 3 AAC 08.023 - Net capital requirements for broker-dealers (Repealed)
- 3 AAC 08.025 - Bonding requirements for certain state investment advisers
- 3 AAC 08.027 - Minimum financial requirements for state investment advisers
- 3 AAC 08.029 - Custody of client funds or securities by state investment advisers
- 3 AAC 08.030 - Books and records of broker-dealers
- 3 AAC 08.031 - Confirmations (Repealed)
- 3 AAC 08.040 - Books and records of state investment advisers
- 3 AAC 08.042 - Books and records of agents of issuers
- 3 AAC 08.050 - Effectiveness and post-effective requirements
- 3 AAC 08.053 - Disclosures to clients
- 3 AAC 08.055 - Advertising on the internet by issuers, broker-dealers, state investment advisers, broker-dealer agents, and investment adviser representatives
- 3 AAC 08.060 - Unethical practices for broker-dealers and sales agents (Repealed)
- 3 AAC 08.061 - Fraudulent practices of broker-dealers and sales agents (Repealed)
- 3 AAC 08.062 - Fraudulent practices of issuers and persons acting on an issuer's behalf
- 3 AAC 08.065 - Sales of securities at financial institutions
- 3 AAC 08.070 - Definitions relating to operational regulations of broker-dealers (Repealed)
- 3 AAC 08.075 - Failure to cooperate
Disclaimer: These regulations may not be the most recent version. Alaska may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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