Securities
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 advisors 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.
Headlines
- State cautions investors about gold schemes
- ADV transition newsletter
- State Securities Regulator Addresses Filing Procedures
- Investor Alert: Caution on seminars and other “free lunch” events
- The Director of the Alaska Division of Banking and Securities would like Alaskans to be aware of Oil and Gas Investment Fraud Schemes
- State Securities Regulator Investigates Stanford Financial
- State Securities Regulator Reviewing Schwab Funds
Investor Education
Statutes & Regulations
Complaints
Consumer Info
- Check Out Your Broker-Dealer or Investment Advisor
- Discliplinary Orders
- Financial News
- Investment Warnings
- Promissory Notes Info
- How to Hire a Financial Planner
Resources
- All State's Regulators
- Web CRD Information
- IARD Information
- National Association of Security Dealers
- North American Securities Administrators Association
- U.S. Securities & Exchange Commission
- Stanford Law School Securities Class Action Clearinghouse
- More
