22 Guam Code Ann. § 46204
Terms Used In 22 Guam Code Ann. § 46204
- Amendment: A proposal to alter the text of a pending bill or other measure by striking out some of it, by inserting new language, or both. Before an amendment becomes part of the measure, thelegislature must agree to it.
COL 052809
22 Guam Code Ann. BUSINESS REGULATIONS
CH. 46 UNIFORM SECURITIES ACT
other records as the Administrator by rule prescribes. All records so required shall be preserved for three (3) years unless the Administrator by rule prescribes otherwise for particular types of records.
(b) Every registered broker-dealer and investment adviser shall file such financial reports as the Administrator by rule prescribes.
(c) If the information contained in any document filed with the Administrator is or becomes inaccurate or incomplete in any material respect, the registrant shall promptly file a correcting amendment unless notification of the correction has been given under § 46201(b).
(d) All the records referred to in subsection (a) are subject at any time or from time to time to such reasonable periodic, special, or other examinations by representatives of the Administrator, within or without this state, as the Administrator deems necessary or appropriate in the public interests or for the protection of investors. For the purpose of avoiding unnecessary duplication of examinations, the Administrator, insofar as he deems it practicable in administering this subsection, may cooperate with the securities administrators of other states, the Securities and Exchange Commission, and any national securities exchange or national securities association registered under the Securities Exchange Act of 1934.
SOURCE: GC § 45204; renumbered by P.L. 16-65:4.