Alaska Statutes 45.56.380 – Succession and change in registration of broker-dealer or investment adviser
Current as of: 2023 | Check for updates
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Terms Used In Alaska Statutes 45.56.380
- Amendment: A proposal to alter the text of a pending bill or other measure by striking out some of it, by inserting new language, or both. Before an amendment becomes part of the measure, thelegislature must agree to it.
- broker-dealer: means a person engaged in the business of effecting transactions in securities for the accounts of others or for the person's own account. See Alaska Statutes 45.56.900
- federal covered investment adviser: means a person registered under 15 U. See Alaska Statutes 45.56.900
- filing: means the receipt under this chapter of a record by the administrator or a designee of the administrator. See Alaska Statutes 45.56.900
- investment adviser: includes a financial planner or other person that, as an integral component of other financially related services, provides investment advice to others for compensation as part of a business or that holds itself out as providing investment advice to others for compensation. See Alaska Statutes 45.56.900
- securities business: means a business that provides the services provided by
(A) investment advisers, federal covered investment advisers, or investment adviser representatives. See Alaska Statutes 45.56.900 - state: means a state of the United States, the District of Columbia, Puerto Rico, the United States Virgin Islands, or any territory or insular possession subject to the jurisdiction of the United States. See Alaska Statutes 45.56.900