Alaska Administrative Code
Title 3 - Commerce, Community, and Economic Development
Part 1 - Banking, Securities, Small Loans and Corporations
Chapter 08 - Securities
Article 1 - Registration, Notice, and Regulation of Broker-Dealers, Agents, State Investment Advisers, and Federal Covered Advisers, and Investment Adviser Representatives
3 AAC 08.030 - Books and records of broker-dealers

Universal Citation: 3 AK Admin Code 08.030

Current through February 24, 2025

(a) Unless otherwise provided by order of the SEC, a broker-dealer registered or required to be registered under AS 45.55 shall make the following books and records and keep them true, accurate, and current:

(1) copies of confirmations of transactions required by 17 C.F.R. 240.10b-10;

(2) all records required to be maintained by 17 C.F.R. 240.17a-3 and 17 C.F.R. 240.17a-4;

(3) all records required to be maintained by any self-regulatory organization or exchange of which the broker-dealer is a member; and

(4) all records required to be maintained by 17 C.F.R. 240.15c2 - 11.

(b) If the SEC amends a federal regulation with which a broker-dealer must comply under (a) of this section, a broker-dealer in compliance with that federal regulation as amended is not subject to an enforcement action by the administrator for violation of this section, if the violation results solely from the dealer's compliance with that federal regulation as amended.

Authority:AS 45.55.050

AS 45.55.060

AS 45.55.950

Disclaimer: These regulations may not be the most recent version. Alaska may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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