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securities transactions

A security is a financial asset that can be bought and sold—including stocks, bonds, debentures, municipal securities, futures, and options—and a securities transaction involves the purchase, sale, redemption, or other transfer of a security.

In Alaska, securities are regulated by both state and federal laws. The Alaska Securities Act, under AS 45.55, governs the registration, sale, and offering of securities within the state. This Act requires that securities offered or sold in Alaska must be registered unless they qualify for an exemption. The Act also mandates the registration of brokers-dealers, agents, investment advisers, and investment adviser representatives involved in the securities business within the state. Additionally, the Act provides for anti-fraud provisions, which prohibit fraudulent and other deceptive practices in connection with the offer, sale, or purchase of securities. At the federal level, the Securities and Exchange Commission (SEC) regulates securities transactions nationwide under the authority of federal laws such as the Securities Act of 1933 and the Securities Exchange Act of 1934. These laws require the registration of securities, provide for reporting requirements for public companies, and aim to protect investors from fraudulent activities in the securities markets.

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Business

securities transactions

Wall Street Quality Legal Services Customized for Main Street Businesses

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Alaska State Code

Alaska State Code

Business

securities transactions

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