How do I renew my SIA registration in Alaska (3 AAC 08.014(b))?
The SIA registrant must DIRECTLY submit to the Securities, prior to December 1 of each year, the following: • A complete, current 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 (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 names and CRD numbers (if applicable) of all currently registered IAR’s to be renewed (if none, please so state); • A current U-4 for each IAR to be renewed which shows any changes from the U-4 previously submitted; • A list of names and CRD numbers (if applicable) of any new IAR applicant s having a place of business in Alaska; • A complete, current, and signed U-4 for each new IAR having a place of business in Alaska; • Evidence that each new IAR applicant has satisfied the qualification requirements of 3 AAC 08.013. Prior to 12/31/99, proof of passage of NASD Seri
