Securities

NOTICE TO SECURITIES FILERS:

IMPORTANT CHANGES TO SECURITIES EXEMPTION FILING REQUIREMENTS UNDER HB 308

Effective July 1, 2014, filings are no longer required for certain exempt securities transactions under 45.55.900(b)(5)(A), 45.55.900(b)(5)(B) and 45.55.900(b)(7).

Click here to read a copy of HB 308, which implemented these changes.
Please contact the Division if you have any questions.

What We Do

The Division of Banking and Securities administers and enforces the Alaska Securities Act (AS 45.55 & 3 AAC 08), including the following: register securities; license, register, and examine investment advisers and broker dealers who sell and provide advice on securities; approve exempt securities offerings; investigate investor complaints and reports of fraud; provide investor education and outreach; as well as administer the proxy filing requirements which apply to certain corporations created under the Alaska Native Claims Settlement Act (ANCSA), and investigate complaints.

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