Section 3.08.920. Filing, fees and forms.

	(a)  All applications, notices, petitions, amendments, reports, and complaints required to be filed under AS 45.55  and this chapter, except for proxy solicitation materials filed under AS 45.55.139, are governed by the following:  
		(1) a document is filed for record when it is received in the office of the administrator, as follows:  
			(A) only the original executed copy of each form is required; if a document pertains to more than one subject or application, a separate form, including cover or transmittal letter, or two or more copies of it, commensurate with the number of items submitted, shall be filed;  
			(B)  all forms and documents shall be in electronic medium or printed, typewritten, or prepared by a similar process which, in the opinion of the administrator, produces copies suitable for a permanent record and shall be clear, easily readable, and suitable for repeated copying; exhibits may be attached to additional sheets or filed in separate envelopes, properly marked or identified;  
			(C) all documents filed become a part of the records of the administrator and, unless designated as confidential by the administrator, are available for public inspection;  
		(2) all fees shall accompany the application or supplemental amendment to which they pertain and are payable by check or money order to the State of Alaska; the administrator will, in the administrator's discretion, approve another payment form if it furthers the purposes of AS 45.55  and this chapter;  
		(3) the nonrefundable notice fee for offerings of securities covered under 15 U.S.C. 77r(b)(4)(D) (sec. 18(b)(4)(D) of the Securities Act of 1933), as amended is $600 for one year;  
		(4) the nonrefundable notice fee for offerings of securities covered under 15 U.S.C. 77r(b)(2) (sec. 18(b)(2) of the Securities Act of 1933), as amended is $600 for one year;  
		(5) a person filing an application for registration of securities shall pay a nonrefundable fee of $600 for one year;  
		(6) a person filing or required to file a notice under AS 45.55.900, except under AS 45.55.900(b)(19), shall pay a nonrefundable fee of $50;  
		(7) a person filing a request for interpretative opinions under AS 45.55.970(e), including requests for "No Action Letters," shall pay a nonrefundable fee of $250;  
		(8) a person filing a notice of a name change of an issue or adding or deleting classes to an issue registered or noticed under AS 45.55  shall pay a $20 nonrefundable notice fee for each change, addition, or deletion filed;  
		(9) a person submitting a solicitation of interest form under 3 AAC 08.087 shall pay a nonrefundable fee of $50;  
		(10) a person filing a registration statement under 3 AAC 08.710 shall pay a nonrefundable fee of $250.  
		(11) a person filing or required to file a notice under AS 45.55.900(b)(19) shall pay a nonrefundable fee of $250.  
	(b)  To comply with a provision for a consent to service of process required to be filed with the administrator under AS 45.55  and this chapter, a broker-dealer, an agent, a federal covered adviser, a state investment adviser, an investment adviser representative, or an issuer may incorporate by reference any consent to service of process previously filed with the administrator by that person or entity.  
	(c)  A corporation subject to the requirements of AS 45.55.139 shall pay a filing fee of $250 plus an additional fee based on the corporation's total assets as reported in its last annual report. The filing fee and additional fee is due concurrently with the filing of the corporation's annual report. The additional fee is computed using the following schedule:  
		(1) up to $5,000,000; $250;  
		(2) $5,000,001 or more, but not over $15,000,000; $500;  
		(3) $15,000,001 or more, but not over $50,000,000; $1,250;  
		(4) $50,000,001 or more, but not over $100,000,000; $2,500;  
		(5) $100,000,001 or more, but not over $250,000,000; $5,000;  
		(6) $250,000,001 or more, but not over $500,000,000; $12,500;  
		(7) $500,000,001 or more; $25,000.  

Authorities

45.55.110;45.55.139;45.55.950;45.55.980

Notes

Reference

3 AAC 08.080
3 AAC 08.085
3 AAC 08.087
3 AAC 08.320
3 AAC 08.503
3 AAC 08.506
3 AAC 08.640
3 AAC 08.710
3 AAC 08.910

Authority

AS 45.55.110 AS 45.55.139 AS 45.55.950 AS 45.55.980

History

Eff. 2/20/72, Register 41; am 10/1/99, Register 151; am 4/19/2000, Register 154; am 4/20/2000, Register 154; am 1/4/2013, Register 205; am 3/4/2015, Register 213; am 1/17/2016, Register 217; am 3/20/2016, Register 217