Alaska Administrative Code (Last Updated: January 12, 2017) |
Title 3. Commerce, Community, and Economic Development. |
Part 3.1. Banking, Securities, Small Loans and Corporations. |
Chapter 3.08. Securities. |
Article 3.08.1. Registration, Notice, and Regulation of Broker-Dealers, Agents, State Investment Advisers, and Federal Covered Advisers, and Investment Adviser Representatives. |
Section 3.08.090. Application to register or notice securities on a continuing basis.
Latest version.
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(a) An application for registration of a security to be issued on a continuing or recurring basis must be made by means of a separate application for each individual security. (b) A notice filing for a face-amount certificate company, an open-end management company issuing a redeemable security, or a unit investment trust issuing a redeemable security must be made by a separate notice filing for each individual fund.
Authorities
45.55.075;45.55.080;45.55.090;45.55.100;45.55.110;45.55.950
Notes
Authority
AS 45.55.075 AS 45.55.080 AS 45.55.090 AS 45.55.100 AS 45.55.110 AS 45.55.950History
Eff. 2/20/72, Register 41; am 2/23/83, Register 85; am 4/19/2000, Register 154