Hawaii Administrative Rules
Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS
Chapter 38 - SECURITIES - REPEALED
Subchapter 7 - EFFECTIVENESS AND POST-EFFECTIVENESS REQUIREMENTS
Section 16-38-14 - Confirmations by issuer
Universal Citation: HI Admin Rules 16-38-14
Current through February, 2024
Every issuer selling its own securities in an intrastate offering, at or before completion of a transaction, shall give or send to each customer written confirmation, retaining copies thereof, concerning all sales of securities, and disclosing the:
(1) Date the transaction occurred;
(2) Price and commission charged; and
(3) Name of the salesperson handling the transaction.
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