Alaska Statutes Title 45, Chapter 45.55, Article 01 - Fraudulent and Other Prohibited Practices

• Sec. 45.55.010 Sales and Purchases.
  (a) A person may not, in connection with the offer, sale, or purchase of a security, directly or indirectly(1) employ a device, scheme, or...
• Sec. 45.55.020 Advisory Activities.
  (a) A person who receives a consideration from another person primarily for advising the other person as to the value of securities or their...
• Sec. 45.55.023 Unethical Business Practices of State Investment Advisers, Investment Adviser Representatives, and Federal Covered Advisers.
  (a) A person who is a state investment adviser, investment adviser representative, or federal covered adviser is a fiduciary and has a duty to...
• Sec. 45.55.025 Fraudulent, Dishonest, and Unethical Business Practices of Broker-Dealers and Agents.
  A broker-dealer and an agent shall observe high standards of commercial honor and just and equitable principles of trade in the conduct of their...
• Sec. 45.55.027 Additional Fraudulent, Dishonest, and Unethical Business Practices of Agents.
  In addition to the acts and practices described in AS 45.55.025 , the acts and practices of an agent that constitute dishonest or unethical...
• Sec. 45.55.028 Practices of Broker-Dealers and Agents Considered Fraudulent or Deceitful.
  Acts and practices of broker-dealers or agents that are considered fraudulent or deceitful acts, practices, or courses of business under AS 45.55.010 (a) include(1)...

Last modified: November 15, 2016