Haw. Code R. § 16-38-14

Current through November, 2024

Section 16-38-14 - Confirmations by issuer

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.

Haw. Code R. § 16-38-14

[Eff 6/4/70; am and ren § 16-38-14, 7/30/81; am and comp 10/12/85; am and comp 4/14/03] (Auth: HRS § 485-2) (Imp: HRS § 485-2)