Connecticut General Statutes
Chapter 672a - Uniform Securities Act
Section 36b-10. (Formerly Sec. 36-478). - Application for registration to be under oath.

Each application for registration under sections 36b-2 to 36b-34, inclusive, shall be sworn to, before a person qualified to administer oaths, by the person making the same and shall state that the alleged facts therein contained are true to his own knowledge. If such person is a partnership, such oath shall be made by a general partner thereof, and, if such person is a corporation or other form of association, such oath shall be made by an executive officer thereof.

(P.A. 77-482, S. 9; P.A. 10-141, S. 7.)
History: Sec. 36-478 transferred to Sec. 36b-10 in 1995; P.A. 10-141 replaced reference to Sec. 36b-33 with reference to Sec. 36b-34, effective June 7, 2010.

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Structure Connecticut General Statutes

Connecticut General Statutes

Title 36b - Connecticut Securities Law and Business Opportunity Investment Act

Chapter 672a - Uniform Securities Act

Section 36b-2. (Formerly Sec. 36-470). - Short title: Connecticut Uniform Securities Act.

Section 36b-3. (Formerly Sec. 36-471). - Definitions.

Section 36b-4. (Formerly Sec. 36-472). - Prohibited activities re the offer, sale or purchase of any security. Regulations.

Section 36b-5. (Formerly Sec. 36-473). - Prohibited activities of investment advisers and persons who solicit advisory business on behalf of investment advisers.

Section 36b-6. (Formerly Sec. 36-474). - Broker-dealer, agent or investment adviser required to register. Exemptions. Branch offices. Notice re termination of business.

Section 36b-7. (Formerly Sec. 36-475). - Application for initial or renewal registration. Registration conditions. Waiver of specific registration requirements.

Section 36b-8. (Formerly Sec. 36-476). - Investigation of applicant for registration. Register.

Section 36b-9. (Formerly Sec. 36-477). - Statement of financial condition.

Section 36b-10. (Formerly Sec. 36-478). - Application for registration to be under oath.

Section 36b-11. (Formerly Sec. 36-479). - Photograph to accompany each application for registration.

Section 36b-12. (Formerly Sec. 36-480). - Application and registration fees.

Section 36b-13. (Formerly Sec. 36-481). - Registration renewal. Requirements.

Section 36b-14. (Formerly Sec. 36-482). - Records and financial reports required.

Section 36b-15. (Formerly Sec. 36-484). - Denial, suspension or revocation of registration by commissioner. Withdrawal from registration or of application.

Section 36b-16. (Formerly Sec. 36-485). - Registration of security prior to offer or sale required. Exceptions.

Section 36b-17. (Formerly Sec. 36-486). - Registration of security by coordination. Registration statement. Contents. Effective date.

Section 36b-18. (Formerly Sec. 36-487). - Registration of security by qualification. Statement contents. Effective date.

Section 36b-19. (Formerly Sec. 36-488). - Registration statement filed by issuer, person on whose behalf offering is to be made or registered broker-dealer. Fee. Contents. Effective date. Regulation by commissioner.

Section 36b-20. (Formerly Sec. 36-489). - Stop order. When issued by commissioner. Registration statement deemed abandoned, when.

Section 36b-21. (Formerly Sec. 36-490). - Exemption of certain securities and transactions. Denial or revocation of exemption.

Section 36b-22. (Formerly Sec. 36-491). - Filing of material intended for distribution to prospective investors.

Section 36b-22a. - Investment advisers and investment adviser agents to provide schedule of charges, fees and penalties to clients.

Section 36b-23. (Formerly Sec. 36-492). - False or misleading statements or omissions prohibited.

Section 36b-24. (Formerly Sec. 36-493). - Findings by commissioner.

Section 36b-25. (Formerly Sec. 36-494). - Administration of chapter. Use and disclosure of information obtained under chapter.

Section 36b-26. (Formerly Sec. 36-495). - Investigative powers of commissioner.

Section 36b-27. (Formerly Sec. 36-496). - Enforcement powers of commissioner.

Section 36b-28. (Formerly Sec. 36-497). - Penalties.

Section 36b-29. (Formerly Sec. 36-498). - Buyer's remedies.

Section 36b-30. (Formerly Sec. 36-499). - Appeals.

Section 36b-31. (Formerly Sec. 36-500). - Regulatory power of commissioner. Hearings.

Section 36b-32. (Formerly Sec. 36-501). - Filing of documents. Register of applications, statements and orders. Copies.

Section 36b-32a. - Applicability of The Philanthropy Protection Act of 1995.

Section 36b-33. (Formerly Sec. 36-502). - Applicability of chapter to offers to buy or sell. Appointment of commissioner as attorney for process.

Section 36b-34. - Compliance with federal Currency and Foreign Transactions Reporting Act.