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Securities

Forms

Forms related to securities filings

Registration by Coordination (AS 45.55.090) or qualification (AS 45.55.100) or SCOR (3 AAC 08.600-650)

Exemptions from Registration (AS 45.55.900)

Registration for Regulation D, Rule 504 or 505 (3 AAC 08.500-.505)

Notice Filing, Regulation D, Rule 506 (AS 45.55.075(d))  

  • NEW! As of November 26, 2016,  All Regulation D, Rule 506 Notice Filings must be made via the NASAA EFD electronic filing system. Paper filings are no longer accepted by the Division.

Notice Filing, Mutual Funds and UITs (AS 45.55.075(a))

Forms and Information Related to Broker-Dealers, Agents, Federal Covered Advisers, State Investment Advisers, and Investment Adviser Representatives (IARs)

Viatical Forms

Solicitation of Interest Form