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

  1. § 3 AAC 08.005 - Scope
  2. § 3 AAC 08.007 - Applicability of registration requirements to supervised persons of state investment advisers
  3. § 3 AAC 08.010 - Registration; notice; exemptions to registration; waivers for dual representation
  4. § 3 AAC 08.011 - Initial applications and notices; effective dates of applications and notices
  5. § 3 AAC 08.012 - Exemptions from qualifying examination
  6. § 3 AAC 08.013 - Qualification requirements for registration of investment adviser representatives
  7. § 3 AAC 08.014 - Renewal of registration or notice; effective date of renewal or notice
  8. § 3 AAC 08.015 - Fees and assessments
  9. § 3 AAC 08.016 - Transferred or successor registration or notice
  10. § 3 AAC 08.017 - Central registration depository system
  11. § 3 AAC 08.018 - Amendments to filings
  12. § 3 AAC 08.020 - Financial reports of broker-dealers (Repealed)
  13. § 3 AAC 08.021 - Financial reports, minimum capital requirements, bonds, and record keeping requirements of broker-dealers
  14. § 3 AAC 08.023 - Net capital requirements for broker-dealers (Repealed)
  15. § 3 AAC 08.025 - Bonding requirements for certain state investment advisers
  16. § 3 AAC 08.027 - Minimum financial requirements for state investment advisers
  17. § 3 AAC 08.029 - Custody of client funds or securities by state investment advisers
  18. § 3 AAC 08.030 - Books and records of broker-dealers
  19. § 3 AAC 08.031 - Confirmations (Repealed)
  20. § 3 AAC 08.040 - Books and records of state investment advisers
  21. § 3 AAC 08.042 - Books and records of agents of issuers
  22. § 3 AAC 08.050 - Effectiveness and post-effective requirements
  23. § 3 AAC 08.053 - Disclosures to clients
  24. § 3 AAC 08.055 - Advertising on the internet by issuers, broker-dealers, state investment advisers, broker-dealer agents, and investment adviser representatives
  25. § 3 AAC 08.060 - Unethical practices for broker-dealers and sales agents (Repealed)
  26. § 3 AAC 08.061 - Fraudulent practices of broker-dealers and sales agents (Repealed)
  27. § 3 AAC 08.062 - Fraudulent practices of issuers and persons acting on an issuer's behalf
  28. § 3 AAC 08.065 - Sales of securities at financial institutions
  29. § 3 AAC 08.070 - Definitions relating to operational regulations of broker-dealers (Repealed)
  30. § 3 AAC 08.075 - Failure to cooperate

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