3 AAC 08.920 - Filing, fees and forms
(a) All applications, notices, petitions,
amendments, reports, and complaints required to be filed under AS 45.55 and
this chapter, except for proxy solicitation materials filed under
AS
45.55.139, are governed by the following:
(1) a document is filed for record when it is
received in the office of the administrator, as follows:
(A) only the original executed copy of each
form is required; if a document pertains to more than one subject or
application, a separate form, including cover or transmittal letter, or two or
more copies of it, commensurate with the number of items submitted, shall be
filed;
(B) all forms and documents
shall be in electronic medium or printed, typewritten, or prepared by a similar
process which, in the opinion of the administrator, produces copies suitable
for a permanent record and shall be clear, easily readable, and suitable for
repeated copying; exhibits may be attached to additional sheets or filed in
separate envelopes, properly marked or identified;
(C) all documents filed become a part of the
records of the administrator and, unless designated as confidential by the
administrator, are available for public inspection;
(2) all fees shall accompany the application
or supplemental amendment to which they pertain and are payable by check or
money order to the State of Alaska; the administrator will, in the
administrator's discretion, approve another payment form if it furthers the
purposes of AS 45.55 and this chapter;
(3) the nonrefundable notice fee for
offerings of securities covered under
15 U.S.C.
77 r(b)(4)(D) (sec. 18(b)(4)(D) of the
Securities Act of 1933), as amended is $600 for one year;
(4) the nonrefundable notice fee for
offerings of securities covered under
15 U.S.C.
77 r(b)(2) (sec. 18(b)(2) of the Securities
Act of 1933), as amended is $600 for one year;
(5) a person filing an application for
registration of securities shall pay a nonrefundable fee of $600 for one
year;
(6) a person filing or
required to file a notice under
AS
45.55.900. except under AS 45.55 .900(b)(19)
or (22), shall pay a nonrefundable fee of $50;
(7) a person filing a request for
interpretative opinions under
AS
45.55.970(e), including
requests for "No Action Letters," shall pay a nonrefundable fee of
$250;
(8) a person filing a notice
of a name change of an issue or adding or deleting classes to an issue
registered or noticed under AS 45.55 shall pay a $20 nonrefundable notice fee
for each change, addition, or deletion filed;
(9) a person submitting a solicitation of
interest form under
3
AAC 08.087 shall pay a nonrefundable fee of
$50;
(10) a person filing a
registration statement under
3
AAC 08.710 shall pay a nonrefundable fee of
$250.
(11) a person filing or
required to file a notice under
AS
45.55.900(b)(19) shall pay a
nonrefundable fee of $250;
(12) a
person filing a notice under
AS
45.55.175 shall pay a nonrefundable fee of
$150;
(13) a person filing a notice
under 3 AAC 08.086 shall pay a
nonrefundable fee of $50;
(14) a
person filing a notice under
3
AAC 08.880 shall pay a nonrefundable fee of
$50.
(b) To comply with a
provision for a consent to service of process required to be filed with the
administrator under AS 45.55 and this chapter, a broker-dealer, an agent, a
federal covered adviser, a state investment adviser, an investment adviser
representative, or an issuer may incorporate by reference any consent to
service of process previously filed with the administrator by that person or
entity.
(c) A corporation subject
to the requirements of
AS
45.55.139 shall pay a filing fee of $250 plus
an additional fee based on the corporation's total assets as reported in its
last annual report. The filing fee and additional fee is due concurrently with
the filing of the corporation's annual report. The additional fee is computed
using the following schedule:
(1) up to
$5,000,000; $250;
(2) $5,000,001 or
more, but not over $15,000,000; $500;
(3) $15,000,001 or more, but not over
$50,000,000; $1 ,250;
(4)
$50,000,001 or more, but not over $100,000,000; $2,500;
(5) $100,000,001 or more, but not over
$250,000,000; $5,000;
(6)
$250,000,001 or more, but not over $500,000,000; $12,500;
(7) $500,000,001 or more;
$25,000.
Notes
Authority:AS 45.55.110
AS 45.55.139
AS 45.55.175
AS 45.55.950
AS 45.55.980
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