 |
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. |
Article 3.08.1. Registration, Notice, and Regulation of Broker-Dealers, Agents, State Investment Advisers, and Federal Covered Advisers, and Investment Adviser Representatives.
| Section 3.08.005. Scope. |
| Section 3.08.007. Applicability of registration requirements to supervised persons of state investment advisers. |
| Section 3.08.010. Registration; notice; exemptions to registration; waivers for dual representation. |
| Section 3.08.011. Initial applications and notices; effective dates of applications and notices. |
| Section 3.08.012. Exemptions from qualifying examination. |
| Section 3.08.013. Qualification requirements for registration of investment adviser representatives. |
| Section 3.08.014. Renewal of registration or notice; effective date of renewal or notice. |
| Section 3.08.015. Fees and assessments. |
| Section 3.08.016. Transferred or successor registration or notice. |
| Section 3.08.017. Central registration depository system. |
| Section 3.08.018. Amendments to filings. |
| Section 3.08.020. Financial reports of broker-dealers(Repealed). |
| Section 3.08.021. Financial reports, minimum capital requirements, bonds, and record keeping requirements of broker-dealers. |
| Section 3.08.023. Net capital requirements for broker-dealers(Repealed). |
| Section 3.08.025. Bonding requirements for certain state investment advisers. |
| Section 3.08.027. Minimum financial requirements for state investment advisers. |
| Section 3.08.029. Custody of client funds or securities by state investment advisers. |
| Section 3.08.030. Books and records of broker-dealers. |
| Section 3.08.031. Confirmations(Repealed). |
| Section 3.08.040. Books and records of state investment advisers. |
| Section 3.08.042. Books and records of agents of issuers. |
| Section 3.08.050. Effectiveness and post-effective requirements. |
| Section 3.08.053. Disclosures to clients. |
| Section 3.08.055. Advertising on the internet by issuers, broker-dealers, state investment advisers, broker-dealer agents, and investment adviser representatives. |
| Section 3.08.060. Unethical practices for broker-dealers and sales agents(Repealed). |
| Section 3.08.061. Fraudulent practices of broker-dealers and sales agents(Repealed). |
| Section 3.08.062. Fraudulent practices of issuers and persons acting on an issuer's behalf. |
| Section 3.08.065. Sales of securities at financial institutions. |
| Section 3.08.070. Definitions relating to operational regulations of broker-dealers(Repealed). |
| Section 3.08.075. Failure to cooperate. |
| Section 3.08.080. Application to register securities. |
| Section 3.08.085. Notice filings for offerings of investment company securities, face-amount certificate companies, and unit investment trusts. |
| Section 3.08.087. Solicitations of interest before the filing of a registration statement. |
| Section 3.08.090. Application to register or notice securities on a continuing basis. |
| Section 3.08.100. Application to register mining securities. |
| Section 3.08.110. Application to register oil and gas securities. |
| Section 3.08.120. Prospectus. |
| Section 3.08.125. Unsound financial condition. |
| Section 3.08.130. Maximum commissions and expenses. |
| Section 3.08.135. Disclosure of use of proceeds. |
| Section 3.08.140. Offering price. |
| Section 3.08.150. Options and warrants. |
| Section 3.08.160. Cheap stock (promotional shares). |
| Section 3.08.170. Promoters' equity investment. |
| Section 3.08.180. Escrow and lock-in of promotional shares. |
| Section 3.08.182. Release of escrowed promotional shares. |
| Section 3.08.184. Documentation of termination of escrow. |
| Section 3.08.186. Transfer of escrowed promotional shares. |
| Section 3.08.190. Impoundment of proceeds. |
| Section 3.08.200. Real estate investment trusts. |
| Section 3.08.210. Unequal voting rights of stock. |
| Section 3.08.215. Loans and other material affiliated transactions. |
| Section 3.08.220. Debentures. |
| Section 3.08.222. Suitability standards. |
| Section 3.08.225. Preferred stock. |
| Section 3.08.227. Participation in coordinated securities reviews. |
| Section 3.08.230. Effectiveness, post-registration, and post-notice requirements for securities. |
| Section 3.08.300. Advertising and sales literature(Relocated). |
| Section 3.08.305. Application of 3 AAC 08.305 - 3 AAC 08.365. |
| Section 3.08.307. Filing of proxy solicitation materials. |
| Section 3.08.310. Exemptions(Relocated). |
| Section 3.08.312. Use of electronic forums and filing requirements. |
| Section 3.08.315. False or misleading statements. |
| Section 3.08.320. Filing, fees and forms(Relocated). |
| Section 3.08.322. Hearings(Relocated). |
| Section 3.08.324. Rulings, forms, and statements of policy(Relocated). |
| Section 3.08.325. Prohibition of certain solicitations. |
| Section 3.08.330. Definitions(Relocated). |
| Section 3.08.335. Requirements as to proxy. |
| Section 3.08.345. Board solicitations. |
| Section 3.08.355. Non-board solicitations. |
| Section 3.08.360. Investigations. |
| Section 3.08.365. Definitions relating to solicitation of proxies. |
| Section 3.08.500. Creation of classifications. |
| Section 3.08.501. Definitions specific to "Regulation D" procedure. |
| Section 3.08.502. General requirements(Repealed). |
| Section 3.08.503. Registration and reporting of "Regulation D" offerings. |
| Section 3.08.504. Registration of Rule 504 offerings. |
| Section 3.08.505. Registration of Rule 505 offerings. |
| Section 3.08.506. Notice filing procedures for transactions of federal covered securities not involving public offerings. |
| Section 3.08.510. Integration requirements. |
| Section 3.08.515. Information requirements. |
| Section 3.08.520. Limitations on manner of offering. |
| Section 3.08.530. Disqualification. |
| Section 3.08.535. Limitation on sales expenses. |
| Section 3.08.540. Rescission of improvident sales. |
| Section 3.08.600. General provisions relating to small corporate offerings. |
| Section 3.08.610. Qualifications for small corporate offerings. |
| Section 3.08.620. Disqualification of small corporate offerings. |
| Section 3.08.630. Filing requirements for small corporate offerings. |
| Section 3.08.640. Registration and reporting for small corporate offerings. |
| Section 3.08.650. Escrow, lock-in, and impound provisions for small corporate offerings. |
| Section 3.08.700. Viatical settlement interests as securities. |
| Section 3.08.705. Scope of viatical settlement requirements. |
| Section 3.08.710. Registration requirements for viatical settlement interests. |
| Section 3.08.715. Effective date and expiration date for registration of viatical settlement interests. |
| Section 3.08.720. Right of rescission applicable to sales of viatical settlement interests. |
| Section 3.08.725. Sales agents. |
| Section 3.08.730. Waiver of viatical settlement requirements. |
| Section 3.08.740. Privacy. |
| Section 3.08.900. Advertising and sales literature. |
| Section 3.08.910. Exemptions. |
| Section 3.08.915. Rescission of illicit sales. |
| Section 3.08.920. Filing, fees and forms. |
| Section 3.08.930. Hearings. |
| Section 3.08.940. Rulings, forms, and statements of policy. |
| Section 3.08.945. Electronic signatures. |
| Section 3.08.950. Definitions. |