Statutes, codes, and regulations
Alaska Administrative Code
Title 3 - Commerce, Community, and Economic DevelopmentPart 1 - Banking, Securities, Small Loans and CorporationsChapter 08 - Securities
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

3 Alaska Admin. Code § 08.005

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Current through October 17, 2024
Section 3 AAC 08.005 - Scope
(a) The applicable provisions of 3 AAC 08.005 - 3 AAC 08.070 set out the regulatory standards for registration, exemption to registration, renewal of registration, qualification and examination requirements, required fees, effective dates of registration, and related matters for the following occupations under AS 45.55:
(1) broker-dealer;
(2) agent;
(3) state investment adviser;
(4) investment adviser representatives.
(b) The applicable provisions of 3 AAC 08.010 - 3 AAC 08.018 also set out the regulatory standards for the administrator's acceptance of filing of notice and renewal of notice, required fees, required filings, effective date of notice, renewal of notice on federal covered investment advisers, and related matters.

3 AAC 08.005

Eff. 10/1/99, Register 151

Authority:AS 45.55.040

AS 45.55.050

AS 45.55.060

AS 45.55.950