Division of Banking and Securities Archived Headlines 2022 Survey for Securities Professionals: The North American Securities Administrators Association (“NASAA”) is requesting responses to a survey to help them determine the necessary knowledge for securities professionals required to take the Series 63, 65, or 66. The survey can be found here and the deadline is February 28, 2022. 2020 Division Issues a Temporary Cease and Desist Order to Metals.com. July 29,2020 Division Recognizes World Elder Abuse Awareness Day. June 15, 2020 AS 06.60.01 House Bill 104 amends the Alaska Secure and Fair Enforcement for Mortgage Licensing Act's seller financing exemption, effective January 1, 2020 2019 Advisory to Raise Awareness of Affinity Fraud. November 20, 2019 DASH for the STASH: Investor Education and Protection Program with a $500 prize. September 5, 2019 States Appeal to Congress on Marijuana Banking Fix. April 22, 2019 Online Filing for Investment Trusts. April 1, 2019 AS 45.56 is the new Alaska Securities Act, effective January 1, 2019 2018 Alaska Division of Banking and Securities Raises Awareness of Promissory Note Fraud. November 28, 2018 Division encourages Alaskans to be on the lookout for elder financial exploitation Updated Financial Institution Regulations Updated Banking Regulations effective for September 21, 2018 SEC Charges Operators of Private Real Estate Fund with Scheme to Defraud Retail Investors Alaskan Wins $1000 Retirement Contribution in DASH for the STASH Contest Alaska Investors Advised to Approach Cryptocurrency with Caution State Attorneys General and State Mortgage Regulators Reach $45 Million Settlement with PHH Mortgage Corporation Guarding the Guardians: Red Flags of Guardian Financial Abuse Division Cautions Alaskans to Watch for Scams in the Wake of Hurricane Florence. 2017 Updated Money Services Regulations Consumer Tips: Equifax Data Breach Division Cautions Alaskans about Online Binary Options Schemes Three Alaska Residents and Four Corporations Charged with Defrauding Investors of Over $1 Million Financial Firms Urged to Watch for Signs of Elder Financial Fraud and Exploitation Alaskans Reminded to Closely Monitor Financial Accounts Division Cautions Retirees about Pension Advance Scams Alaskans Invited to DASH for the STASH to Compete for $1000 Prize 2016 DASH for the STASH Investor Education Program Offers $1000 Prize Division Cautions Retirees about Pension Advance Scams Alaska Joins into Settlement with Moneygram Involving Wire Transfers used in "Grandparent Scams" Division Releases List of Top Investor Threats Alaskan wins $1,000 Prize in DASH for the STASH Contest 2015 Division Cautions Fraud Victims About Third-Party Asset Recovery Firms Investors Cautioned About “The Next Big Thing” Military and Government Employees Invited to Free Financial Education Event Alaskans Cautioned About Foreign Currency Investment Schemes Division of Banking and Securities Issues Order Against Broker-Dealer Firm for Deceptive Sales Practices Securities Regulations Effective March 4, 2015 2014 Banking and Securities Surveys Investment Advisers to Determine Cybersecurity Vulnerability State Agencies Revoke Licenses Virtual Currency Investor Advisory Alert 2013 Investor Alert: World Capital Markets, Inc. and WCM777 Thinking of Raising Capital for your Business? Investor Alert - Profitable Sunrise 2012 Information for Shareholders of ANCSA Corporations 2011 Alaskans Recover Lost Investments 2010 State Cautions Investors about Gold Schemes ADV transition newsletter State highlights top 10 investor traps State Regulators Announce Launch of "NMLS Consumer Access" 2009 State Securities Regulator Addresses Filing Procedures State Securities Regulator Investigates Stanford Financial State Securities Regulator Reviewing Schwab Funds DCCED Announces Its Participation in the CSBS/AARMR Nationwide Mortage Licensing System 2008 Alaska has joined 45 other states, the District of Columbia and Puerto Rico, in announcing its commitment to participate in the Nationwide Mortgage Licensing System Answers for Investors Concerned about the Safety of their Brokerage Accounts SEC Suspends trading of 26 companies. Please see if you are an investor. Hovanec Appointed as Director of Banking and Securities 2007 Law passed to protect Alaskans seeking a mortgage loan