Alaska Statutes Title 45, Chapter 45.55, Article 02 - Registration of Broker-Dealers, Agents, and Investment Advisers

• Sec. 45.55.030 Registration Requirements; Referrals.
  (a) A person may not transact business in this state as a broker-dealer or agent unless the person is registered under this chapter.(b) A...
• Sec. 45.55.035 Limited Registration of Canadian Broker-Dealers and Agents.
  (a) If a broker-dealer is registered under this section and its principal office is located in a province or territory of Canada that provides...
• Sec. 45.55.040 Registration Procedure; Notice Filing.
  (a) A broker-dealer, agent, investment adviser representative, or state investment adviser may obtain an initial or renewal registration by filing with the administrator an...
• Sec. 45.55.050 Post-Registration Provisions.
  (a) Except as provided under 15 U.S.C. 78o (Securities Exchange Act of 1934), a registered broker-dealer shall make and keep the accounts, correspondence, memoranda,...
• Sec. 45.55.060 Denial, Revocation, Suspension, Cancellation, and Withdrawal of Registration.
  (a) The administrator may by order deny, suspend, or revoke a registration if the administrator finds that the order is in the public interest...

Last modified: November 15, 2016