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U.S. State Codes
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Alaska
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Title 45. Trade and Commerce
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Chapter 56. Alaska Securiti...
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Article 2. Broker-Dealers, Agents, Investment A...
Article 2. Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers.
Sec. 45.56.300. Broker-dealer registration requirement and exemptions.
Sec. 45.56.310. Limited registration of Canadian broker-dealers and agents.
Sec. 45.56.320. Registration exemption for merger and acquisition broker.
Sec. 45.56.330. Agent registration requirement and exemptions.
Sec. 45.56.340. Investment adviser registration requirement and exemptions.
Sec. 45.56.350. Investment adviser representative registration requirement and exemptions.
Sec. 45.56.360. Federal covered investment adviser notice filing requirement.
Sec. 45.56.370. Registration by broker-dealer, agent, investment adviser, and investment adviser representative.
Sec. 45.56.380. Succession and change in registration of broker-dealer or investment adviser.
Sec. 45.56.390. Termination of employment or association of agent and investment adviser representative and transfer of employment or association.
Sec. 45.56.400. Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.
Sec. 45.56.410. Fees.
Sec. 45.56.420. Post registration requirements.
Sec. 45.56.430. Protecting older and vulnerable adults from financial exploitation.
Sec. 45.56.440. Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.