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.

Licensing

• Manual Forms
• Fee Schedule

Statutes & Regulations

• Alaska Securities Act (AS 45.56)
• Securities Regulations (3 AAC 08)

Electronic Filing Systems/Regulatory Compliance

• Blue Express Manager - Authorized Filers Only
• Central Registration Depository (CRD)
• Electronic Filing Depository (EFD) - Reg D, Rule 504 and Mutual Funds
• Financial Crimes Enforcement Network (FinCEN)
• Investment Adviser Registration Depository (IARD)

Consumer Information

• Broker Check by FINRA
• Protecting Your Online Accounts