(a) The administrator shall establish fees by regulation for
(1) an initial filing of an application as a broker-dealer and renewal of an application by a broker-dealer for registration;
(2) an application for registration as an agent and renewal of registration as an agent;
(3) an application for registration as an investment adviser and renewal of registration as an investment adviser;
(4) an application for registration as an investment adviser representative, a renewal of registration as an investment adviser representative, and a change of registration as an investment adviser representative; and
(5) an initial fee and annual notice fee for a federal covered investment adviser required to file a notice under AS 45.56.360.
(b) A person required to pay a filing or notice fee under this section may transmit the fee through or to a designee as provided by a regulation adopted or order issued under this chapter.
(c) The administrator may establish other fees by regulation as necessary to administer this chapter.
Structure Alaska Statutes
Chapter 56. Alaska Securities Act
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. 45.56.380. Succession and change in registration of broker-dealer or investment adviser.
Sec. 45.56.420. Post registration requirements.
Sec. 45.56.430. Protecting older and vulnerable adults from financial exploitation.