Title 9 . Law

Chapter 14 . Executive Branch Code of Ethics

Section 10. Registration of telephonic sellers

9 AAC 14.010. Registration of telephonic sellers

Not less than 30 days before conducting a telephonic solicitation campaign to sell property or services in this state, a telephonic seller shall register with the department a notice of intent to engage in a telephonic solicitation campaign, with a separate registration for each telephonic solicitation campaign. A telephonic seller shall renew the registration annually if a telephonic solicitation campaign continues for more than one year from the date of the initial registration. Initial registration and any subsequent renewals must be submitted on the following form:

Return to: Alaska Department of Law Fair Business Practices Section

NOTICE OF INTENT TO ENGAGE IN

TELEPHONE SOLICITATION

TELEPHONIC SELLER REGISTRATION FORM

(as required by AS 45.63.010 )

A separate registration must be filed for each telephonic solicitation campaign. This registration is valid for one year from date of receipt by the department, and must be renewed annually thereafter if the registrant intends to continue this telephonic solicitation campaign in Alaska. Conducting a telephonic solicitation campaign in Alaska without a valid registration on file with the Alaska Department of Law is punishable as a class C felony under AS 45.63.040 . 1. Name of telephonic seller: ________________________________________________ (a) Name that the telephonic seller will use when contacting the public, if different: ___________________________________________________________________ (b) Additional names used by telephonic seller when contacting the public: ___________________________________________________________________________ ___________________________________________________________________________ 2. A brief description of what we sell is: ___________________________________ _____________________________________________________________________________ 3. (a) [ ] We have never been registered as a telephonic seller in Alaska. (b) [ ] We have previously been registered as a telephonic seller in Alaska. Name of Telephonic Seller Date of Registration ________________________ ____ / ____ / ____ ________________________ ____ / ____ / ____ ________________________ ____ / ____ / ____ ________________________ ____ / ____ / ____ 4. Telephonic seller's business is a: (a) [ ] Corporation. It is incorporated in: _________________________________________________________________________ (state or country of incorporation) If the telephonic seller is a corporation, you must attach and mark as "Exhibit 1" a copy of the articles of incorporation. (b) [ ] Partnership. We are a partnership under the laws of: _________________________________________________________________________ (state or country where partnership founded) If the telephonic seller is a partnership, you must attach and mark as "Exhibit 1" a copy of the partnership agreement. (c) [ ] Assumed business name. The assumed business name was registered by: _________________________________________________________________________ (name of individual who registered) ____________________________ on ____ / ____ / ____ (assumed name) (date registered) at ______________________________________________________________________ (state or country where assumed name was registered) (d) [ ] Sole proprietorship. The proprietor is: _________________________________________________________________________ Date of birth: __________________________________________________________ Driver's license number: ________________________________________________ State (or country): _____________________________________________________ (e) [ ] Joint venture (JV). The JV's name is: ______________________________ _________________________________________________________________________ JV partners' names: _____________________________________________________ _________________________________________________________________________ If the telephonic seller is a joint venture, you must attach and mark as "Exhibit 1" a copy of the joint venture agreement, and complete the following: If the JV partners are natural persons, provide the following information for each person (use additional sheets of paper, if necessary): Name: ________________________________________________________________ Date of birth: _______________________________________________________ Driver's license number: _____________________________________________ State (or country): __________________________________________________ Name Date of birth: _______________________________________________________ Driver's license number: _____________________________________________ State (or country): __________________________________________________ Name: ________________________________________________________________ Date of birth: _______________________________________________________ Driver's license number: _____________________________________________ State (or country): __________________________________________________ If the JV partners are corporations or partnerships, for each JV partner, you must attach as "Exhibit 1" a copy of the partnership agreement or articles of incorporation along with the joint venture agreement. (f) [ ] Other kind of business organization. Describe in detail (use additional sheets of paper, if necessary): 5. (a) [ ] As defined in 9 AAC 14.900(a) (3), the following company is our parent company: _________________________________________________________________________ (b) [ ] As defined in 9 AAC 14.900(a) (1) we are affiliated with the following companies: _________________________________________________________________________ _________________________________________________________________________ (c) [ ] As defined in 9 AAC 14.900 (a)(1) and (3) no other company is our parent, nor are we affiliated with any other company. 6. If 5(a) is checked, our parent company is a: (a) [ ] Corporation. It is incorporated in: _________________________________________________________________________ (state or country of incorporation) [ ] Attached and marked "Exhibit 1A" is a copy of its articles of incorporation. (b) [ ] Partnership. It is a partnership under the laws of: _________________________________________________________________________ (state or country where partnership founded) [ ] Attached and marked "Exhibit 1A" is a copy of its partnership agreement. (c) [ ] Assumed business name. The assumed business name was registered by: _________________________________________________________________________ (name of individual who registered) ____________________________ on ____ / ____ / ____ (assumed name) (date registered) at ______________________________________________________________________ (state or country where assumed name was registered) 7. If you checked 5(b), provide the following information for the company with which you are affiliated: (a) [ ] Corporation. It is incorporated in: _________________________________________________________________________ (state or country of incorporation) You must attach and mark as "Exhibit 1B" a copy of its articles of incorporation. (b) [ ] Partnership. It is a partnership under the laws of: ______________________________________________________________________ (state or country where partnership is founded) You must attach and mark as "Exhibit 1B" a copy of its partnership agreement. (c) [ ] Assumed business name. The assumed business name was registered by: ______________________________________________________________________ (name of individual who registered) ____________________________ on ____ / ____ / ____ (assumed name) (date registered) at ___________________________________________________________________ (state or country where assumed name was registered) You must complete the following information for the person operating under the assumed business name: Name: ___________________________________________________________________ Date of birth: __________________________________________________________ Driver's license number: ________________________________________________ State (or country): _____________________________________________________ 8. (a) The complete physical address (do not list a post office box) of the principal location from which sales will be solicited is: ____________________ ___________________________________________________________________________ ___________________________________________________________________________ (b) We will also be soliciting sales from the following other physical addresses: ___________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ (c) If the address given in (a) is not in Alaska, the address of the main location in Alaska, if any, from which we will solicit business is: __________ ___________________________________________________________________________ ___________________________________________________________________________ (d) Our mailing address (if different from (a)) is: ___________________________________________________________________________ ___________________________________________________________________________ 9. The telephone numbers from which we will be soliciting business in Alaska are (use additional sheets of paper, if necessary): [ ] ________________________________________________________________________ [ ] ________________________________________________________________________ [ ] ________________________________________________________________________ [ ] ________________________________________________________________________ [ ] ________________________________________________________________________ 10. Depending on whether our business is a corporation, partnership or sole proprietorship, the following information is provided for each officer, director, trustee, general partner, limited partner, sole proprietor, and owner (use additional sheets of paper, if necessary): (a) Name: ___________________________________________________________________ Date of birth: ____________________________________________________________ Office held: ______________________________________________________________ Ownership interest: [ ] Yes [ ] No Complete address of the person's principal residence: ___________________________________________________________________________ ___________________________________________________________________________ Driver's license no.: _____________________________________________________ State (or country) of issuance: ___________________________________________ (b) Name: ___________________________________________________________________ Date of birth: ____________________________________________________________ Office held: ______________________________________________________________ Ownership interest: [ ] Yes [ ] No Complete address of the person's principal residence: ___________________________________________________________________________ ___________________________________________________________________________ Driver's license no.: _____________________________________________________ State (or country) of issuance: ___________________________________________ (c) Name: ___________________________________________________________________ Date of birth: ____________________________________________________________ Office held: ______________________________________________________________ Ownership interest: [ ] Yes [ ] No Complete address of the person's principal residence: ___________________________________________________________________________ ___________________________________________________________________________ Driver's license no.: _____________________________________________________ State (or country) of issuance: ___________________________________________ 11. The following list includes all individuals, not listed in answer to question 10, who have management responsibilities in connection with our business (use additional sheets of paper, if necessary): (a) Name: ___________________________________________________________________ Date of birth: ____________________________________________________________ Principal residence address: ___________________________________________________________________________ ___________________________________________________________________________ Driver's license no.: _____________________________________________________ State (or country) of issuance: ___________________________________________ Management duties include: ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ (b) Name: ___________________________________________________________________ Date of birth: ____________________________________________________________ Principal residence address: ___________________________________________________________________________ ___________________________________________________________________________ Driver's license no.: _____________________________________________________ State (or country) of issuance: ___________________________________________ Management duties include: ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ (c) Name: ___________________________________________________________________ Date of birth: ____________________________________________________________ Principal residence address: ______________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ Driver's license no.: _____________________________________________________ State (or country) of issuance: ___________________________________________ Management duties include: ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ 12. The following is a list of the persons in charge of each location specified in the answers to question 8. List each person in charge even if that name appears in answer to another question (use additional sheets of paper, if necessary): (a) Name: ___________________________________________________________________ Principal residence address: ___________________________________________________________________________ ___________________________________________________________________________ In charge of location at: ___________________________________________________________________________ ___________________________________________________________________________ (b) Name: ___________________________________________________________________ Principal residence address: ___________________________________________________________________________ ___________________________________________________________________________ In charge of location at: ___________________________________________________________________________ ___________________________________________________________________________ (c) Name: ___________________________________________________________________ Principal residence address: ___________________________________________________________________________ ___________________________________________________________________________ In charge of location at: ___________________________________________________________________________ ___________________________________________________________________________ 13. The following information is required for any person listed in the answers to questions 10, 11, or 12 who: (a) has been convicted of a felony or misdemeanor or pled nolo contendere to a charge alleging fraud, theft, embezzlement, fraudulent conversion or misappropriation of property; or (b) has had entered a final judgment or order in a civil or administrative action, including a stipulated judgment or order, if the complaint or petition in the civil or administrative action alleged acts constituting a violation of a telephonic seller law, fraud, theft, embezzlement, fraudulent conversion, or misappropriation of property, the use of untrue or misleading misrepresentations in an attempt to sell or dispose of real or personal property, or the use of unfair, unlawful, or deceptive business practices; or (c) is subject to any currently effective injunction or restrictive court order relating to business activity as the result of an action brought by a federal, state, or local public agency or unit of them, including an action affecting any vocational license. Provide the following information for each person. Use additional sheets of paper, if necessary. (d) Individual's name: ______________________________________________________ Court or administrative agency rendering decision, judgment, or order: ____ Docket no.: _____________ location: ____________________________________ Date of conviction, judgment, or order: ___________________________________ Name of governmental agency that brought the action: ___________________________________________________________________________ (e) Individual's name: ____________________________________________________ Court or administrative agency rendering decision, judgment, or order: ____ Docket no.: ________________________ location: _________________________ Date of conviction, judgment, or order: ___________________________________ Name of governmental agency that brought the action: ___________________________________________________________________________ (f) Individual's name: ____________________________________________________ Court or administrative agency rendering decision, judgment, or order: ____ Docket no.: ________________________ location: _________________________ Date of conviction, judgment, or order: ___________________________________ Name of governmental agency that brought the action: ___________________________________________________________________________ (g) Individual's name: ____________________________________________________ Court or administrative agency rendering decision, judgment, or order: ____ Docket no.: ________________________ location: _________________________ Date of conviction, judgment, or order: ___________________________________ Name of governmental agency that brought the action: ___________________________________________________________________________ If no individual listed in the answers to questions 10, 11, or 12 needs to be listed in 13 because none of them has been convicted or pled nolo contendere to any charge set out in question 13, or is not subject to any current injunctive or restrictive order, mark an "X" here [ ]. 14. The following is the same information requirement imposed by question 13, except that it applies to the telephonic seller. The telephonic seller is the corporation, partnership, firm, sole proprietorship, association, joint venture or any other type of business entity which is submitting this Telephonic Seller Registration Form. Individual or business organization's name: ___________________________________________________________________________ ___________________________________________________________________________ Court or administrative agency rendering decision, judgment, or order: ____ Docket no.: ________________________ location __________________________ Date of conviction, judgment, or order: ___________________________________ Name of governmental agency that brought the action: ___________________________________________________________________________ If the telephonic seller does not need to be listed in 14 because the telephonic seller has not been convicted or pled nolo contendere to any charge set out in question 13, or is not subject to any current injunctive or restrictive order, mark an "X" here [ ]. 15. The following information is required to be provided for any person listed in the answers to questions 10, 11, or 12, who has: (a) at any time during the previous seven tax years: - filed in bankruptcy; - been adjudged a bankrupt; - been reorganized due to insolvency; or (b) been a principal, director, officer, trustee, general or limited partner, or had management responsibilities for any other corporation, partnership, joint venture, or business entity that has: - filed in bankruptcy; - been adjudged a bankrupt; or - been reorganized due to insolvency during or within one year after the period that the person held that position. Use additional sheets of paper, if necessary. Individual or business organization's name: ___________________________________________________________________________ ___________________________________________________________________________ Address: __________________________________________________________________ ___________________________________________________________________________ Date of event: ________________________ Docket no.: ____________________ Court of jurisdiction: ____________________________________________________ 16. The following information required by question 15 must be provided for the telephonic seller. The telephonic seller is the corporation, partnership, firm, sole proprietorship, association, joint venture, or any other type of business entity that is submitting this application. Individual or business organization's name: ___________________________________________________________________________ ___________________________________________________________________________ Address: __________________________________________________________________ ___________________________________________________________________________ Date of event: ________________________ Docket no.: ____________________ Court of jurisdiction: ____________________________________________________ If the telephonic seller does not need to be listed in 16 because the telephonic seller does not fall within the situations described in question 15, mark an "X" here [ ]. 17. The following is the list of the names of individuals who will solicit on behalf of the registrant, and the names they will use when soliciting. Use additional sheets of paper, if necessary, but retain the same format. (a) Actual name: __________________________________________________________ Principal residence address: ______________________________________________ ___________________________________________________________________________ Names to be used when soliciting: ___________________________________________________________________________ ___________________________________________________________________________ (b) Actual name: __________________________________________________________ Principal residence address: ______________________________________________ ___________________________________________________________________________ Names to be used when soliciting: ___________________________________________________________________________ ___________________________________________________________________________ (c) Actual name: __________________________________________________________ Principal residence address: ______________________________________________ ___________________________________________________________________________ Names to be used when soliciting: ___________________________________________________________________________ ___________________________________________________________________________ (d) Actual name: __________________________________________________________ Principal residence address: ______________________________________________ ___________________________________________________________________________ Names to be used when soliciting: ___________________________________________________________________________ ___________________________________________________________________________ 18. Will the telephonic seller use any prepared sales scripts in the course of the telephonic solicitation? [ ] Yes [ ] No If you checked"yes" to question 18, you must attach and mark as "Exhibit 2" a copy of all sales scripts that will be used by persons soliciting on behalf of the telephonic seller. 19. (a) Unless you check 19(b), you must attach and mark as "Exhibit 3" a copy of all sales information or literature provided by the telephonic seller to the sales staff which is distributed to inform the sales staff including scripts, outlines, instructions and information regarding how to conduct telephonic sales, sample introductions, sample closings, product information, and contest or premium award information. (b) [ ] The telephonic seller does not provide to or inform salespeople of any sales information or literature as described in 19(a). 20. The telephonic seller shall attach and mark as "Exhibit 4" a copy of all written material sent to any prospective or actual buyer, including the written contracts required by AS 45.63.020 , with all disclosures and other information required by 9 AAC 14.040.

CERTIFICATE

By signing this Telephonic Seller's Registration Form, the registrants certify, under penalty of unsworn falsification in violation of AS 11.56.210 , that the information provided in this Telephone Seller's Registration Form and in the exhibits, is true and correct. The registrants also acknowledge that by signing they are appointing the Alaska Department of Law as their agent to accept service of all process on their behalf under the provisions of AS 45.63.010 and further that the registrants have read the provisions of AS 45.63.010 - AS 45.63.100 (Alaska Telephonic Solicitation Act), and Title 9 of the Alaska Administrative Code, and agree to comply with these provisions. All owners, executive officers, if the applicant is a corporation; general and managing partners, if the applicant is a partnership; sole proprietors, if the applicant is a sole proprietorship; trustees, if the applicant is a trust; or any other individual with similar supervisory functions with respect to any registrant must sign and date this verification. Dated: ________________________ _____________________________ (signature) ____________________________________________________________ (printed or typed name) ____________________________________________________________ (title) Dated: ________________________ _____________________________ (signature) ____________________________________________________________ (printed or typed name) ____________________________________________________________ (title) Dated: ________________________ _____________________________ (signature) ____________________________________________________________ (printed or typed name) ____________________________________________________________ (title)

History: Eff. 3/19/94, Register 129

Authority: AS 45.63.010

AS 45.63.090

Editor's note: The address for filing the Telephonic Seller's Registration Form or obtaining information about those forms is the Alaska Department of Law, FairBusiness Practices Section, 1031 West 4th Avenue, Suite 200, Anchorage, Alaska 99501-1994.