Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers.

  1. Law
  2. Alaska Statutes
  3. Trade and Commerce
  4. Alaska Securities Act
  5. Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers.

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Section
45.56.300

Broker-dealer registration requirement and exemptions.

Section
45.56.310

Limited registration of Canadian broker-dealers and agents.

Section
45.56.320

Registration exemption for merger and acquisition broker.

Section
45.56.330

Agent registration requirement and exemptions.

Section
45.56.340

Investment adviser registration requirement and exemptions.

Section
45.56.350

Investment adviser representative registration requirement and exemptions.

Section
45.56.360

Federal covered investment adviser notice filing requirement.

Section
45.56.370

Registration by broker-dealer, agent, investment adviser, and investment adviser representative.

Section
45.56.380

Succession and change in registration of broker-dealer or investment adviser.

Section
45.56.390

Termination of employment or association of agent and investment adviser representative and transfer of employment or association.

Section
45.56.400

Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.

Section
45.56.410

Fees.

Section
45.56.420

Post registration requirements.

Section
45.56.430

Protecting older and vulnerable adults from financial exploitation.

Section
45.56.440

Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.