Article 1 - Registration, Notice, and Regulation of Broker-Dealers, Agents, State Investment Advisers, and Federal Covered Advisers, and Investment Adviser Representatives
- Section 3 AAC 08.005 - Scope
- Section 3 AAC 08.007 - Applicability of registration requirements to supervised persons of state investment advisers
- Section 3 AAC 08.010 - Registration; notice; exemptions to registration; waivers for dual representation
- Section 3 AAC 08.011 - Initial applications and notices; effective dates of applications and notices
- Section 3 AAC 08.012 - Exemptions from qualifying examination
- Section 3 AAC 08.013 - Qualification requirements for registration of investment adviser representatives
- Section 3 AAC 08.014 - Renewal of registration or notice; effective date of renewal or notice
- Section 3 AAC 08.015 - Fees and assessments
- Section 3 AAC 08.016 - Transferred or successor registration or notice
- Section 3 AAC 08.017 - Central registration depository system
- Section 3 AAC 08.018 - Amendments to filings
- Section 3 AAC 08.020 - Financial reports of broker-dealers (Repealed)
- Section 3 AAC 08.021 - Financial reports, minimum capital requirements, bonds, and record keeping requirements of broker-dealers
- Section 3 AAC 08.023 - Net capital requirements for broker-dealers (Repealed)
- Section 3 AAC 08.025 - Bonding requirements for certain state investment advisers
- Section 3 AAC 08.027 - Minimum financial requirements for state investment advisers
- Section 3 AAC 08.029 - Custody of client funds or securities by state investment advisers
- Section 3 AAC 08.030 - Books and records of broker-dealers
- Section 3 AAC 08.031 - Confirmations (Repealed)
- Section 3 AAC 08.040 - Books and records of state investment advisers
- Section 3 AAC 08.042 - Books and records of agents of issuers
- Section 3 AAC 08.050 - Effectiveness and post-effective requirements
- Section 3 AAC 08.053 - Disclosures to clients
- Section 3 AAC 08.055 - Advertising on the internet by issuers, broker-dealers, state investment advisers, broker-dealer agents, and investment adviser representatives
- Section 3 AAC 08.060 - Unethical practices for broker-dealers and sales agents (Repealed)
- Section 3 AAC 08.061 - Fraudulent practices of broker-dealers and sales agents (Repealed)
- Section 3 AAC 08.062 - Fraudulent practices of issuers and persons acting on an issuer's behalf
- Section 3 AAC 08.065 - Sales of securities at financial institutions
- Section 3 AAC 08.070 - Definitions relating to operational regulations of broker-dealers (Repealed)
- Section 3 AAC 08.075 - Failure to cooperate