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3 AAC 07.350. Notice of default charges

Repealed.

History: Eff. 4/28/79, Register 70; repealed 4/16/2000, Register 154

3 AAC 07.355. Notice of delinquency charges

(a) If a borrower is assessed delinquency charges, the licensee shall give the borrower written notice of the amount of the assessment within 10 days of the assessment.

(b) If a licensee assesses the allowable delinquency charges under AS 06.40.130 , the licensee shall disclose the terms of the delinquency charges in the premium finance agreement.

History: Eff. 4/16/2000, Register 154

Authority: AS 06.40.130

AS 06.40.180

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Article 5
General Provisions

Section

910. Definitions.

3 AAC 07.910. Definitions

In this chapter

(1) "commissioner" means the commissioner of the Department of Commerce, Community, and Economic Development;

(2) "department" means the Department of Commerce, Community, and Economic Development;

(3) "division" means the division of banking and securities in the Department of Commerce, Community, and Economic Development;

(4) "loan" means a lending of money to an Alaskan borrower for the purpose of financing an insurance premium for that borrower.

History: Eff. 4/28/79, Register 70; am 12/7/2006, Register 180

Authority: AS 06.40.180

Editor's note: As of Register 171 (October 2004), the regulations attorney made technical revisions under AS 44.62.125 (b)(6) to reflect the name change of the Department of Community and Economic Development to the Department of Commerce, Community, and Economic Development made by ch. 47, SLA 2004 and the corresponding title change of the commissioner of community and economic development.

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Chapter 08
Securities

Article

1. Registration, Notice, and Regulation of Broker-Dealers, Agents, State Investment Advisers, and Federal Covered Advisers, and Investment Adviser Representatives. (3 AAC 08.005 - 3 AAC 08.070)

2. Registration and Notice of Securities. (3 AAC 08.080 - 3 AAC 08.230)

3. Alaska Native Claims Act Corporations: Solicitation of Proxies. (3 AAC 08.300 - 3 AAC 08.365)

4. "Regulation D" Registration and Notice Procedure. (3 AAC 08.500 - 3 AAC 08.540)

5. Small Corporate Offering Registration SCOR Procedure. (3 AAC 08.600 - 3 AAC 08.650)

6. Viatical Settlement Interests. (3 AAC 08.700 - 3 AAC 08.740)

7. Small Intrastate Securities Offerings. (3 AAC 08.810 - 3 AAC 08.895)

8. General Provisions. (3 AAC 08.900 - 3 AAC 08.950)

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Article 1
Registration, Notice, and Regulation of Broker-Dealers, Agents, State Investment Advisers, and Federal Covered Advisers, and Investment Adviser Representatives

Section

5. Scope.

7. Applicability of registration requirements to supervised persons of state investment advisers.

10. Registration; notice; exemptions to registration; waivers for dual representation.

11. Initial applications and notices; effective dates of applications and notices.

12. Exemptions from qualifying examination.

13. Qualification requirements for registration of investment adviser representatives.

14. Renewal of registration or notice; effective date of renewal or notice.

15. Fees and assessments.

16. Transferred or successor registration or notice.

17. Central registration depository system.

18. Amendments to filings.

20. (Repealed).

21. Financial reports, minimum capital requirements, bonds, and record keeping requirements of broker-dealers.

23. (Repealed).

25. Bonding requirements for certain state investment advisers.

27. Minimum financial requirements for state investment advisers.

29. Custody of client funds or securities by state investment advisers.

30. Books and records of broker-dealers.

31. (Repealed).

40. Books and records of state investment advisers.

42. Books and records of agents of issuers.

50. Effectiveness and post-effective requirements.

53. Disclosures to clients.

55. Advertising on the internet by issuers, broker-dealers, state investment advisers, broker-dealer agents, and investment adviser representatives.

60. (Repealed).

61. (Repealed).

62. Fraudulent practices of issuers and persons acting on an issuer's behalf.

65. Sales of securities at financial institutions.

70. (Repealed).

75. Failure to cooperate.

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

3 AAC 08.007. Applicability of registration requirements to supervised persons of state investment advisers

For purposes of determining whether, by providing to clients who are natural persons the services described in AS 45.55.990 (15)(A)(i), the supervised person of a state investment adviser is an investment adviser representative subject to the requirements of AS 45.55 and this chapter, "clients who are natural persons" as defined in AS 45.55.990 (8) does not include natural persons who are "qualified clients" under 17 C.F.R. 275.205-3(d)(1).

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