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Securities and Investment

The division registers and examines companies and individuals who sell securities and provide securities advice including broker-dealers, investment advisers, and salespersons authorized to work with Alaskan investors. Companies file mutual funds, exemptions, and other securities filings. Staff investigates complaints or reports of fraud and takes enforcement action as needed.


Statutes & Regulations

Electronic Filing Systems/Regulatory Compliance

Consumer Information

Submit inquiries to: