2017 Alaska Statutes
Title 45. Trade and Commerce
Chapter 55. Alaska Securities Act
Article 4. Miscellaneous Provisions
Sec. 45.55.150. Sales and advertising literature.
The administrator may by regulation or order establish requirements for or require the filing of a prospectus, a pamphlet, a circular, a form letter, an advertisement, or other sales literature or advertising communication addressed or intended for distribution to prospective investors, clients, or prospective clients by an issuer, a state investment adviser, a federal covered adviser, or a broker-dealer, unless
(1) the security or transaction is exempt under AS 45.55.900 and the applicable provision of that section does not place a limitation on sales and advertising literature;
(2) the security is a federal covered security; or
(3) the broker-dealer, state investment adviser, or federal covered adviser is exempt or excluded from the requirements of this section under this chapter or federal law.
