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Alaska Administrative Code (Last Updated: January 12, 2017) |
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Title 3. Commerce, Community, and Economic Development. |
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Part 3.1. Banking, Securities, Small Loans and Corporations. |
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Chapter 3.08. Securities. |
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Article 3.08.1. Registration, Notice, and Regulation of Broker-Dealers, Agents, State Investment Advisers, and Federal Covered Advisers, and Investment Adviser Representatives. |
Section 3.08.042. Books and records of agents of issuers.
Latest version.
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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.