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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 (Repealed)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 (Repealed)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 (Repealed)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 (Repealed)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 (Repealed)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 (Repealed)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