Alaska Statutes: AS 45.55. Alaska Securities Act

Alaska Statutes. Title 45. Trade and Commerce Chapter 55. Alaska Securities Act

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Chapter 55. Alaska Securities Act

Section 10. Sales and Purchases.
Section 20. Advisory Activities.
Section 23. Unethical Business Practices of State Investment Advisers, Investment Adviser Representatives, and Federal Covered Advisers.
Section 25. Fraudulent, Dishonest, and Unethical Business Practices of Broker-Dealers and Agents.
Section 27. Additional Fraudulent, Dishonest, and Unethical Business Practices of Agents.
Section 28. Practices of Broker-Dealers and Agents Considered Fraudulent or Deceitful.
Section 30. Registration Requirements; Referrals.
Section 35. Limited Registration of Canadian Broker-Dealers and Agents.
Section 40. Registration Procedure; Notice Filing.
Section 50. Post-Registration Provisions.
Section 60. Denial, Revocation, Suspension, Cancellation, and Withdrawal of Registration.
Section 70. Registration Requirement.
Section 75. Federal Covered Securities.
Section 80. Registration By Notification.
Section 90. Registration By Coordination.
Section 100. Registration By Qualification.
Section 110. Provisions Applicable to Registration and Notice Filings.
Section 120. Denial, Suspension, and Revocation of Registration.
Section 130. [Renumbered as AS 45.55.990
Section 138. Application to Alaska Native Claims Settlement Act Corporations.
Section 139. Reports of Corporations.
Section 140. [Renumbered as AS 45.55.900
Section 150. Sales and Advertising Literature.
Section 155. Viatical Settlement Interests.
Section 160. Misleading Filings.
Section 170. Unlawful Representations Concerning Registration or Exemption.
Section 180. - 45.55.260. [Renumbered as AS 45.55.905
Section 265. Accounting and Disposition of Fees. [Repealed, Sec. 28 Ch 90 SLA 1991].
Section 270. [Renumbered as AS 45.55.995
Section 900. Exemptions.
Section 905. Administration of Chapter.
Section 910. Investigations and Subpoenas; Confidentiality.
Section 915. Reimbursement of Expenses Incident to Examination or Investigation.
Section 920. Orders, Injunctions, and Civil Penalties.
Section 925. Criminal Penalties.
Section 930. Civil Liability to Buyers.
Section 935. Hearings.
Section 940. Judicial Review of Orders.
Section 950. Regulations, Forms, Orders, and Hearings.
Section 960. Administrative Procedure Act Applies.
Section 970. Administrative Files and Opinions.
Section 980. Applicability of the Chapter; Service of Process.
Section 990. Definitions.
Section 995. Short Title.

Article 01. FRAUDULENT AND OTHER PROHIBITED PRACTICES

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