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).
Notes
Authority:AS 45.55.030
AS 45.55.950
AS 45.55.990
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