Securities

NOTICE TO SECURITIES FILERS:

IMPORTANT CHANGES TO SECURITIES REGULATIONS EFFECTIVE MARCH 4, 2015

Click here for a memorandum outlining the changes and a copy of the regulations.
Please contact the division if you have any questions.

What We Do

The Division of Banking and Securities administers and enforces the Alaska Securities Act (AS 45.55 & 3 AAC 08), including the following: register securities; license, register, and examine investment advisers and broker dealers who sell and provide advice on securities; approve exempt securities offerings; investigate investor complaints and reports of fraud; provide investor education and outreach; as well as administer the proxy filing requirements which apply to certain corporations created under the Alaska Native Claims Settlement Act (ANCSA), and investigate complaints.

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Investor Education

Statutes & Regulations

Complaints

Consumer Info

Resources

Forms & Fees

Contacts