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)
ALASKA
ADMINISTRATIVE CODE
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