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2020 Alaska Statutes
Title 45. Trade and Commerce
Chapter 56. Alaska Securities Act
Article 2. Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers.
- Sec. 45.56.300. Broker-dealer registration requirement and exemptions.
- Sec. 45.56.310. Limited registration of Canadian broker-dealers and agents.
- Sec. 45.56.320. Registration exemption for merger and acquisition broker.
- Sec. 45.56.330. Agent registration requirement and exemptions.
- Sec. 45.56.340. Investment adviser registration requirement and exemptions.
- Sec. 45.56.350. Investment adviser representative registration requirement and exemptions.
- Sec. 45.56.360. Federal covered investment adviser notice filing requirement.
- Sec. 45.56.370. Registration by broker-dealer, agent, investment adviser, and investment adviser representative.
- Sec. 45.56.380. Succession and change in registration of broker-dealer or investment adviser.
- Sec. 45.56.390. Termination of employment or association of agent and investment adviser representative and transfer of employment or association.
- Sec. 45.56.400. Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.
- Sec. 45.56.410. Fees.
- Sec. 45.56.420. Post registration requirements.
- Sec. 45.56.430. Protecting older and vulnerable adults from financial exploitation.
- Sec. 45.56.440. Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.
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