Guam § 46204 - Post-Registration Provisions.
Full text of Guam Guam Code Annotated § 46204 — Post-Registration Provisions., with citation guidance and answers to common questions.
§ 46204. Post-Registration Provisions.
(a) Every registered broker-dealer and investment adviser shall make
and keep such accounts, correspondence, memoranda, papers, books, and
COL 052809
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.
Frequently Asked Questions About Guam § 46204
What does Guam Code Annotated § 46204 cover?
Section 46204 ("Post-Registration Provisions.") is part of the Guam Code Annotated, the codified statutory law of Guam. It sets out the legal rule or procedure described in the text above. Statutes are amended regularly, so always verify against the official source.
How do I cite Guam § 46204?
A common citation format is "Guam Code Annotated § 46204" (Guam). Legal writing may require the code abbreviation, section number, and year or edition. Match the style required by your court, professor, or publisher.
Is this the official text of Guam law?
No. This page is for research and education and may not include the most recent amendments. For official current law, check the Guam official source linked on this page or consult a licensed Guam attorney.
How does Guam § 46204 apply to my situation?
Statutes are interpreted in context, and application depends on your specific facts. Only a licensed attorney in Guam can advise on how this section applies to you. Contact your state or local bar association for a referral.
Sources & Verification
Not legal advice. Verify against the official source and consult a licensed attorney in Guam.