Alaska Statutes
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. - (a) A person may not transact business in this state...

Sec. 45.56.310. Limited registration of Canadian broker-dealers and agents. - (a) If a broker-dealer is registered under this section and...

Sec. 45.56.320. Registration exemption for merger and acquisition broker. - (a) Except as provided in (b) and (c) of this...

Sec. 45.56.330. Agent registration requirement and exemptions. - (a) An individual may not transact business in this state...

Sec. 45.56.340. Investment adviser registration requirement and exemptions. - (a) A person may not transact business in this state...

Sec. 45.56.350. Investment adviser representative registration requirement and exemptions. - (a) An individual may not transact business in this state...

Sec. 45.56.360. Federal covered investment adviser notice filing requirement. - (a) Except with respect to a federal covered investment adviser...

Sec. 45.56.370. Registration by broker-dealer, agent, investment adviser, and investment adviser representative. - (a) A person shall register as a broker-dealer, agent, investment...

Sec. 45.56.380. Succession and change in registration of broker-dealer or investment adviser. - (a) A broker-dealer or investment adviser may succeed to the...

Sec. 45.56.390. Termination of employment or association of agent and investment adviser representative and transfer of employment or association. - (a) If an agent registered under this chapter terminates employment...

Sec. 45.56.400. Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative. - Withdrawal of registration by a broker-dealer, agent, investment adviser, or...

Sec. 45.56.410. Fees. - (a) The administrator shall establish fees by regulation for (1)...

Sec. 45.56.420. Post registration requirements. - (a) Subject to 15 U.S.C. 78o(i) or 80b-18a, a regulation...

Sec. 45.56.430. Protecting older and vulnerable adults from financial exploitation. - (a) If a broker-dealer, investment adviser, or qualified individual reasonably...

Sec. 45.56.440. Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration. - (a) If the administrator finds that the order is in...