Dealer Requirements: Broker-dealers must be registered with the State of Alaska using a Form BD.

Filing Fees: $75 registration fee

Official Recognition: Yes

Forms: In addition to the U-7 form, a U-1, U-2 and U-2A forms must also be submitted.

Instructions:

1.) Payment of registration and filing fees.

2.) Within 30 days after the expiration date, the completion of the offering, or the termination of the offering, whichever occurs first, the corporation must file a report of sales to the administration.

3.) For a period of three years following the closing of the offering, the corporation shall maintain and keep open for inspection by the administrator all offering materials; all records relating to purchasers; and all records relating to securities sales following the close of the offerings.

Date Last Modified: 8/20/97

Regulatory Contact:

Contact:
Mr. Terry Lutz Acting Director, Department of Commerce and Economic Development, Division of Banking, Securities, and Corporations

Address:
P.O. Box 110807
Juneau AK 99811

Phone:
907/465-2521

Fax:
907/265-2549

Web Site:
http://www.state.ak.us/bsc/bsc.htm

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