How do I register as a State Investment Adviser (SIA) in Alaska (3 AAC 08.011(j))?
The SIA applicant must submit DIRECTLY to the Securities the following: • A current, complete and signed SEC Form ADV; • A statement that all amendments to Form ADV will be properly filed with the division on a timely basis; • An appropriate surety bond (Alaska Form 08-100), if required by 3 AAC 08.025; • Balance Sheet for the SIA or a statement that the SIA has a positive net worth; • A list of all IAR applicant s and CRD numbers (if applicable) having a place of business in Alaska; • A complete, current and signed U-4 for each Investment Adviser Representative (IAR) having a place of business in Alaska; • Evidence that the IAR has satisfied the qualification requirements of 3 AAC 08.013. Prior to 12/31/99, proof of passage of NASD Series 63 and 65 or Series 66 for each IAR. After 12/31/99, proof of passing the “modified” versions of the NASDR Series 65 or NASDR Series 7 and Series 66 • A statement that all amendments to Form U-4 for each IAR will be properly filed with the Division o
Related Questions
- Does Alaska require a surety bond for a State Investment Adviser (SIA) who is registered, or required to be registered, under the Alaska Securities Act?
- How do I register as a State Investment Adviser (SIA) in Alaska (3 AAC 08.011(j))?
- Can an investment adviser register in more than one state using IARD?
