Issuers and Issuer Agents

Issuers and Issuer Agents. A. Every issuer selling its own securities shall make and keep current the following books and records: 1. Stockholders' ledgers or other records reflecting alphabetically the names and addresses of all stockholders, stock certificates issued to each, dates paid, and full details as to transfers or cancellations; 2. Copies of all promotional and sales materials used in connection with the sales of the issuer's securities; 3. Copies of all confirmations of sales of securities; and 4. Stock certificate books. B. Agents of issuers required to register under the Act may do so by submitting applications to the Division on Form U4 along with the registration fee as specified in