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Alaska Administrative Code
Title 03 . Commerce, Community, and Economic Development
Chapter 8 . Securities

Chapter 8. Securities

Section 5 . Scope
Section 7 . Applicability of registration requirements to supervised persons of state investment advisers
Section 10 . Registration; notice; exemptions to registration; waivers for dual representation
Section 11 . Initial applications and notices; effective dates of applications and notices
Section 12 . Exemptions from qualifying examination
Section 13 . Qualification requirements for registration of investment adviser representatives
Section 14 . Renewal of registration or notice; effective date of renewal or notice
Section 15 . Fees and assessments
Section 16 . Transferred or successor registration or notice
Section 17 . Central registration depository system
Section 18 . Amendments to filings
Section 20 . (Repealed)
Section 21 . Financial reports, minimum capital requirements, bonds, and record keeping requirements of broker-dealers
Section 23 . (Repealed)
Section 25 . Bonding requirements for certain state investment advisers
Section 27 . Minimum financial requirements for state investment advisers
Section 29 . Custody of client funds or securities by state investment advisers
Section 30 . Books and records of broker-dealers
Section 31 . (Repealed)
Section 40 . Books and records of state investment advisers
Section 42 . Books and records of agents of issuers
Section 50 . Effectiveness and post-effective requirements
Section 53 . Disclosures to clients
Section 55 . Advertising on the internet by issuers, broker-dealers, state investment advisers, broker-dealer agents, and investment adviser representatives
Section 60 . (Repealed)
Section 61 . (Repealed)
Section 62 . Fraudulent practices of issuers and persons acting on an issuer
Section 65 . Sales of securities at financial institutions
Section 70 . (Repealed)
Section 80 . Application to register securities
Section 85 . Notice filings for offerings of investment company securities, face-amount certificate companies, and unit investment trusts
Section 87 . Solicitations of interest before the filing of a registration statement
Section 90 . Application to register or notice securities on a continuing basis
Section 100 . Application to register mining securities
Section 110 . Application to register oil and gas securities
Section 120 . Prospectus
Section 125 . Unsound financial condition
Section 130 . Maximum commissions and expenses
Section 135 . Disclosure of use of proceeds
Section 140 . Offering price
Section 150 . Options and warrants
Section 160 . Cheap stock (promotional shares)
Section 170 . Promoters
Section 180 . Escrow and lock-in of promotional shares
Section 182 . Release of escrowed promotional shares
Section 184 . Documentation of termination of escrow
Section 186 . Transfer of escrowed promotional shares
Section 190 . Impoundment of proceeds
Section 200 . Real estate investment trusts
Section 210 . Unequal voting rights of stock
Section 215 . Loans and other material affiliated transactions
Section 220 . Debentures
Section 222 . Suitability standards
Section 225 . Preferred stock
Section 227 . Participation in coordinated securities reviews
Section 230 . Effectiveness, post-registration, and post-notice requirements for securities
Section 300 . (Relocated)
Section 305 . Application of 3 AAC 08.305 - 3 AAC 08.365
Section 310 . (Relocated)
Section 315 . False or misleading statements
Section 320 . (Relocated)
Section 322 . (Relocated)
Section 324 . (Relocated)
Section 325 . Prohibition of certain solicitations
Section 330 . (Relocated)
Section 335 . Requirements as to proxy
Section 345 . Board solicitations
Section 355 . Non-board solicitations
Section 365 . Definitions relating to solicitation of proxies
Section 500 . Creation of classifications
Section 501 . Definitions specific to "Regulation D" procedure
Section 502 . (Repealed)
Section 503 . Registration and reporting of "Regulation D" offerings
Section 504 . Registration of Rule 504 offerings
Section 505 . Registration of Rule 505 offerings
Section 506 . Notice filing procedures for transactions of federal covered securities not involving public offerings
Section 510 . Integration requirements
Section 515 . Information requirements
Section 520 . Limitations on manner of offering
Section 530 . Disqualification
Section 535 . Limitation on sales expenses
Section 540 . Rescission of improvident sales
Section 600 . General provisions relating to small corporate offerings
Section 610 . Qualifications for small corporate offerings
Section 620 . Disqualification of small corporate offerings
Section 630 . Filing requirements for small corporate offerings
Section 640 . Registration and reporting for small corporate offerings
Section 650 . Escrow, lock-in, and impound provisions for small corporate offerings
Section 700 . Viatical settlement interests as securities
Section 705 . Scope of viatical settlement requirements
Section 710 . Registration requirements for viatical settlement interests
Section 715 . Effective date and expiration date for registration of viatical settlement interests
Section 720 . Right of rescission applicable to sales of viatical settlement interests
Section 725 . Sales agents
Section 730 . Waiver of viatical settlement requirements
Section 740 . Privacy
Section 900 . Advertising and sales literature
Section 910 . Exemptions
Section 915 . Rescission of illicit sales
Section 920 . Filing, fees and forms
Section 930 . Hearings
Section 940 . Rulings, forms, and statements of policy
Section 945 . Electronic signatures
Section 950 . Definitions

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The Alaska Administrative Code was automatically converted to HTML from a plain text format. Every effort has been made to ensure its accuracy, but neither Touch N' Go Systems nor the Law Offices of James B. Gottstein can be held responsible for any possible errors. This version of the Alaska Administrative Code is current through June, 2006.

If it is critical that the precise terms of the Alaska Administrative Code be known, it is recommended that more formal sources be consulted. Recent editions of the Alaska Administrative Journal may be obtained from the Alaska Lieutenant Governor's Office on the world wide web. If any errors are found, please e-mail Touch N' Go systems at E-mail. We hope you find this information useful. Copyright 2006. Touch N' Go Systems, Inc. All Rights Reserved.

Last modified 7/05/2006