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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 3.08.600. General provisions relating to small corporate offerings.
Latest version.
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(a) As an alternative to a registration procedure under this chapter, a corporation or limited liability company issuing securities that are exempt from registration with the SEC under either 17 C.F.R. 230.251 - 17 C.F.R. 230.263 (Regulation A) or 17 C.F.R. 230.501 - 17 C.F.R. 230.504 and 17 C.F.R. 230.507 (Rule 504 of Regulation D), may use the NASAA registration Form U-7, or its successor, as the disclosure document for the offering. (b) The administrator will, in the administrator's discretion, for good cause shown, waive or modify a requirement of 3 AAC 08.600 - 3 AAC 08.650. (c) The administrator will, in the administrator's discretion, apply a provision of 3 AAC 08.080 - 3 AAC 08.230 to offerings under 3 AAC 08.600 - 3 AAC 08.650, if the administrator determines that application of that provision is necessary for the protection of investors.
Authorities
45.55.110;45.55.950