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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 3.08.053. Disclosures to clients.
Latest version.
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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.
Authorities
45.55.030;45.55.040;45.55.050;45.55.950