The commissioner may, by regulation adopted, in accordance with chapter 54, or order, require the filing of any prospectus, pamphlet, circular, form letter, advertisement or other sales literature or advertising communication addressed or intended for distribution to prospective investors, including clients or prospective clients of an investment adviser registered or required to be registered under sections 36b-2 to 36b-34, inclusive, unless the security or transaction is (1) exempted by subsection (a) or (b) of section 36b-21, except for transactions exempted by subdivision (13) of subsection (b) of said section 36b-21, or (2) a covered security.
(P.A. 77-482, S. 23; P.A. 79-396, S. 7, 11; P.A. 82-149, S. 14, 16; P.A. 97-220, S. 12, 15; P.A. 05-177, S. 7; P.A. 10-141, S. 17.)
History: P.A. 79-396 substituted Sec. “36-490” for “36-491”; P.A. 82-149 added “except for transactions exempted by subdivision (12) of subsection (b) of said section”; Sec. 36-491 transferred to Sec. 36b-22 in 1995; P.A. 97-220 added exception for a covered security, effective July 1, 1997; (Revisor's note: In 1999 a reference to “subdivision (12)” of Subsec. (b) of Sec. 36b-21 was replaced editorially by the Revisors with “subdivision (13)” pursuant to changes to Sec. 36b-21 enacted by P.A. 98-162); P.A. 05-177 required that regulation be adopted in accordance with chapter 54, provided that filings of literature and advertising communications addressed or intended for prospective clients apply to investment advisers registered or required to be registered under Secs. 36b-2 to 36b-33, inclusive, and made technical changes; P.A. 10-141 replaced reference to Sec. 36b-33 with reference to Sec. 36b-34, effective June 7, 2010.
See Sec. 3-123ee re exemption for Connecticut Home Care Trust Fund participation, offering and solicitation.
Structure 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-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-23. (Formerly Sec. 36-492). - False or misleading statements or omissions prohibited.
Section 36b-24. (Formerly Sec. 36-493). - Findings by commissioner.
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-32a. - Applicability of The Philanthropy Protection Act of 1995.
Section 36b-34. - Compliance with federal Currency and Foreign Transactions Reporting Act.