Securities

Mission Statement

The Alaska Division of Banking and Securities (Securities section) administers and enforces the Alaska Securities Act and associated regulations. The administrative function includes regulating securities offerings (stocks, bonds, mutual funds etc.) and registering the firms and individuals who sell securities or give investment advice. The enforcement function includes handling complaints and investigations of registered entities and regulated offerings as well as investigating unregistered activities (scams), whether offered directly by an individual or via phone, internet, newspaper or public meetings. The Securities section’s primary mission is protecting Alaska residents from investment activities that may cause financial harm.