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Title 3 . Commerce, Community, and Economic Development
Chapter 8 . Land Sales
Section 42. Books and records of agents of issuers

3 AAC 08.042. Books and records of agents of issuers

An agent of an issuer registered or required to be registered under AS 45.55.030 shall make, maintain, and preserve for a period of not less than three years records containing the following information:

(1) copies of all writings confirming the sale or purchase of securities;

(2) the date and amount of each cash receipt or disbursement associated with a sale or purchase of securities;

(3) for each sale or purchase of securities, the number of shares or units involved, the certificate numbers, and the date each was delivered to or received from the investor.

History: Eff. 4/19/2000, Register 154

Authority: AS 45.55.950


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Last modified 7/05/2006