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 08.053 - Disclosures to clients
Universal Citation: 3 AK Admin Code 08.053
Current through February 24, 2025
(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.
Authority:AS 45.55.030
AS 45.55.040
AS 45.55.050
AS 45.55.950
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