Connecticut General Statutes
Chapter 672a - Uniform Securities Act
Section 36b-25. (Formerly Sec. 36-494). - Administration of chapter. Use and disclosure of information obtained under chapter.

(a) Sections 36b-2 to 36b-34, inclusive, shall be administered by the commissioner.

(b) Neither the commissioner nor any of his officers or employees shall use for personal benefit any information which is filed with or obtained by the commissioner and which is not made public. No provision of sections 36b-2 to 36b-34, inclusive, authorizes the commissioner or any of his officers or employees to disclose any such information except among themselves or when necessary or appropriate in a proceeding or investigation under said sections. No provision of said sections either creates or derogates from any privilege which exists at common law or otherwise when documentary or other evidence is sought under a subpoena directed to the commissioner or any of his officers or employees.
(P.A. 77-482, S. 26; P.A. 10-141, S. 20.)
History: Sec. 36-494 transferred to Sec. 36b-25 in 1995; P.A. 10-141 replaced references to Sec. 36b-33 with references to Sec. 36b-34, effective June 7, 2010.

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.