Statutes, codes, and regulations
Alaska Administrative Code
Title 3 - Commerce, Community, and Economic DevelopmentPart 1 - Banking, Securities, Small Loans and CorporationsChapter 08 - Securities
Article 1 - Registration, Notice, and Regulation of Broker-Dealers, Agents, State Investment Advisers, and Federal Covered Advisers, and Investment Adviser Representatives
Section 3 AAC 08.007 - Applicability of registration requirements to supervised persons of state investment advisers

3 Alaska Admin. Code § 08.007

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Current through October 17, 2024
Section 3 AAC 08.007 - Applicability of registration requirements to supervised persons of state investment advisers

For purposes of determining whether, by providing to clients who are natural persons the services described in AS 45.55.990(15)(A)(i), the supervised person of a state investment adviser is an investment adviser representative subject to the requirements of AS 45.55 and this chapter, "clients who are natural persons" as defined in AS 45.55.990(8) does not include natural persons who are "qualified clients" under 17 C.F.R. 275.205 - 3(d)(1).

3 AAC 08.007

Eff. 4/19/2000, Register 154

Authority:AS 45.55.030

AS 45.55.950

AS 45.55.990