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Alaska Administrative Code (Last Updated: January 12, 2017) |
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Title 3. Commerce, Community, and Economic Development. |
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Part 3.1. Banking, Securities, Small Loans and Corporations. |
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Chapter 3.08. Securities. |
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Article 3.08.1. Registration, Notice, and Regulation of Broker-Dealers, Agents, State Investment Advisers, and Federal Covered Advisers, and Investment Adviser Representatives. |
Section 3.08.007. Applicability of registration requirements to supervised persons of state investment advisers.
Latest version.
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For purposes of determining whether, by providing to clients who are natural persons the services described in AS 45.55.990(15)(A)(i), the supervised person of a state investment adviser is an investment adviser representative subject to the requirements of AS 45.55 and this chapter, "clients who are natural persons" as defined in AS 45.55.990(8) does not include natural persons who are "qualified clients" under 17 C.F.R. 275.205-3(d)(1).
Authorities
45.55.030;45.55.950;45.55.990