Connecticut General Statutes
Chapter 672a - Uniform Securities Act
Section 36b-32a. - Applicability of The Philanthropy Protection Act of 1995.

(a) Section 6 of The Philanthropy Protection Act of 1995, 15 USC Section 80a-3a, shall not preempt the laws of this state that require registration or qualification of securities or require any person to register as or be subject to regulation as a broker-dealer, agent, investment adviser or investment adviser agent.

(b) The Philanthropy Protection Act of 1995, Public Law 104-62, shall not apply in any administrative or judicial action as a defense to any claim that any person, security, interest, or participation of the type described in said act and the amendments made by said act is subject to the provisions of sections 36b-2 to 36b-34, inclusive.
(P.A. 98-162, S. 9; P.A. 10-141, S. 29.)
History: P.A. 10-141 amended Subsec. (b) by replacing 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.