Section 3.08.005. 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.  

Authorities

45.55.040;45.55.050;45.55.060;45.55.950

Notes

Reference

3 AAC 08.005
3 AAC 08.017
3 AAC 08.705

Authority

AS 45.55.040 AS 45.55.050 AS 45.55.060 AS 45.55.950

History

Eff. 10/1/99, Register 151