Each broker-dealer shall comply with the applicable provisions of the Currency and Foreign Transactions Reporting Act, 31 USC Section 5311 et seq., as from time to time amended, and any regulations adopted thereunder, as from time to time amended.
(P.A. 03-259, S. 31.)
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.