3 AAC 08.005. Scope

(a) The applicable provisions of 3 AAC 08.005 - 3 AAC 08.070 set out the regulatory standards for registration, exemption to registration, renewal of registration, qualification and examination requirements, required fees, effective dates of registration, and related matters for the following occupations under AS 45.55:

(1) broker-dealer;

(2) agent;

(3) state investment adviser;

(4) investment adviser representatives.

(b) The applicable provisions of 3 AAC 08.010 - 3 AAC 08.018 also set out the regulatory standards for the administrator's acceptance of filing of notice and renewal of notice, required fees, required filings, effective date of notice, renewal of notice on federal covered investment advisers, and related matters.

History: Eff. 10/1/99, Register 151

Authority: AS 45.55.040

AS 45.55.050

AS 45.55.060

AS 45.55.950

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