3 AAC 08.053 - Disclosures to clients
(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.
Notes
Authority:AS 45.55.030
AS 45.55.040
AS 45.55.050
AS 45.55.950
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