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(a) A state investment adviser registered or required to be registered under AS 45.55 shall furnish clients and prospective clients a written disclosure statement that complies with 17 C.F.R. 275.204-3.
(b) Upon or before completing each purchase or sale of a security or completing a debit or credit for securities, cash, and other items for account of others, an agent of an issuer registered or required to be registered under AS 45.55 shall notify a customer in writing of the
(1) identity and price of the security;
(2) account for which the transaction was entered;
(3) date of execution;
(4) name of the person handling the transaction; and
(5) fact that the transaction was unsolicited, if it was.
History: Eff. 4/19/2000, Register 154
Authority: AS 45.55.030
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Last modified 7/05/2006