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(a) All applications, notices, petitions, amendments, reports, and complaints required under AS 45.55 and this chapter are governed by the following:
(1) a document is filed for record when it is received in the office of the administrator
(A) only the original executed copy of each form is required; if a document pertains to more than one subject or application, a separate form, including cover or transmittal letter, or two or more copies of it, commensurate with the number of items submitted, shall be filed;
(B) all forms and documents shall be in electronic medium or printed, lithographed, mimeographed, typewritten, or prepared by a similar process which, in the opinion of the administrator, produces copies suitable for a permanent record and shall be clear, easily readable, and suitable for repeated copying; exhibits may be attached to additional sheets or filed in separate envelopes, properly marked or identified;
(C) all documents filed become a part of the records of the administrator and, unless designated as confidential by the administrator, are available for public inspection;
(2) all fees shall accompany the application or supplemental amendment to which they pertain and are payable by check or money order to the State of Alaska; the administrator will, in the administrator's discretion, approve another payment form if it furthers the purposes of AS 45.55 and this chapter;
(3) the nonrefundable notice fee for offerings of securities covered under 15 U.S.C. 77r(b)(4)(D) (sec. 18(b)(4)(D) of the Securities Act of 1933), as amended is $600 for one year, or $1,100 if an automatic extension of one year is desired by the issuer at the time the notice is filed;
(4) the nonrefundable notice fee for offerings of securities covered under 15 U.S.C. 77r(b)(2) (sec. 18(b)(2) of the Securities Act of 1933), as amended is $600 for one year, or $1,100 if an automatic extension of one year is desired by the issuer at the time that the notice is filed;
(5) a person filing an application for registration of securities shall pay a nonrefundable filing fee of $100 and a refundable registration fee of $500 for one year, or a nonrefundable filing fee of $100 and a refundable registration fee of $1,000 if an automatic extension of one year is desired by the issuer at the time the application for registration application is filed;
(6) a person filing or required to file a notice under AS 45.55.900 shall pay a nonrefundable fee of $50, or a nonrefundable fee of $125 if an expedited review procedure is requested and the fee is paid in a form authorized by (2) of this subsection;
(7) a person filing a request for interpretative opinions under AS 45.55.970 (e), including requests for "No Action Letters", shall pay a nonrefundable fee of $100; the expedited review procedure is not available for these requests;
(8) a person filing a notice of a name change of an issue or adding or deleting classes to an issue registered or noticed under AS 45.55 shall pay a $20 nonrefundable notice fee for each change, addition, or deletion filed;
(9) a person submitting a solicitation of interest form under 3 AAC 08.087 shall pay a nonrefundable fee of $50, or a nonrefundable fee of $125 if an expedited review procedure is requested and the fee is paid in a form authorized by (2) of this subsection;
(10) a person filing a registration statement under 3 AAC 08.710 shall pay a nonrefundable fee of $250.
(b) To comply with a provision for a consent to service of process required to be filed with the administrator under AS 45.55 and this chapter, a broker-dealer, an agent, a federal covered adviser, a state investment adviser, an investment adviser representative, or an issuer may incorporate by reference any consent to service of process previously filed with the administrator by that person or entity.
History: Eff. 2/20/72, Register 41; am 10/1/99, Register 151; am 4/19/2000, Register 154; am 4/20/2000, Register 154
Authority: AS 45.55.110
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Last modified 7/05/2006