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 08.042 - Books and records of agents of issuers
Universal Citation: 3 AK Admin Code 08.042
Current through February 24, 2025
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.
Authority:AS 45.55.950
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