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Chapter 672 - General Statement
Section 36b-1. - General statement. - Sections 36b-2 to 36b-34, inclusive, and 36b-40 to 36b-52, inclusive,...
Chapter 672a - Uniform Securities Act
Section 36b-2. (Formerly Sec. 36-470). - Short title: Connecticut Uniform Securities Act. - Sections 36b-2 to 36b-34, inclusive, may be cited as the...
Section 36b-3. (Formerly Sec. 36-471). - Definitions. - As used in sections 36b-2 to 36b-34, inclusive, unless the...
Section 36b-4. (Formerly Sec. 36-472). - Prohibited activities re the offer, sale or purchase of any security. Regulations. - (a) No person shall, in connection with the offer, sale...
Section 36b-5. (Formerly Sec. 36-473). - Prohibited activities of investment advisers and persons who solicit advisory business on behalf of investment advisers. - (a) No person who directly or indirectly receives compensation or...
Section 36b-6. (Formerly Sec. 36-474). - Broker-dealer, agent or investment adviser required to register. Exemptions. Branch offices. Notice re termination of business. - (a) No person shall transact business in this state as...
Section 36b-7. (Formerly Sec. 36-475). - Application for initial or renewal registration. Registration conditions. Waiver of specific registration requirements. - (a) A broker-dealer, agent, investment adviser or investment adviser agent...
Section 36b-8. (Formerly Sec. 36-476). - Investigation of applicant for registration. Register. - On receipt of the application for registration as a branch...
Section 36b-9. (Formerly Sec. 36-477). - Statement of financial condition. - The commissioner may require that each application for registration of...
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,...
Section 36b-11. (Formerly Sec. 36-479). - Photograph to accompany each application for registration. - Each application for registration under sections 36b-2 to 36b-34, inclusive,...
Section 36b-12. (Formerly Sec. 36-480). - Application and registration fees. - (a) Each person applying for registration as a broker-dealer or...
Section 36b-13. (Formerly Sec. 36-481). - Registration renewal. Requirements. - (a) Each person registered as a broker-dealer or investment adviser...
Section 36b-14. (Formerly Sec. 36-482). - Records and financial reports required. - (a)(1) Every registered investment adviser shall make, keep and preserve...
Section 36b-15. (Formerly Sec. 36-484). - Denial, suspension or revocation of registration by commissioner. Withdrawal from registration or of application. - (a) The commissioner may, by order, deny, suspend or revoke...
Section 36b-16. (Formerly Sec. 36-485). - Registration of security prior to offer or sale required. Exceptions. - No person shall offer or sell any security in this...
Section 36b-17. (Formerly Sec. 36-486). - Registration of security by coordination. Registration statement. Contents. Effective date. - (a) Any security for which a registration statement has been...
Section 36b-18. (Formerly Sec. 36-487). - Registration of security by qualification. Statement contents. Effective date. - (a) Any security may be registered by qualification. (b) A...
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. - (a) A registration statement may be filed with the commissioner,...
Section 36b-20. (Formerly Sec. 36-489). - Stop order. When issued by commissioner. Registration statement deemed abandoned, when. - (a) The commissioner may issue a stop order denying effectiveness...
Section 36b-21. (Formerly Sec. 36-490). - Exemption of certain securities and transactions. Denial or revocation of exemption. - (a) The following securities are exempted from sections 36b-16 and...
Section 36b-22. (Formerly Sec. 36-491). - Filing of material intended for distribution to prospective investors. - The commissioner may, by regulation adopted, in accordance with chapter...
Section 36b-22a. - Investment advisers and investment adviser agents to provide schedule of charges, fees and penalties to clients. - Each investment adviser required to register under section 36b-6 or...
Section 36b-23. (Formerly Sec. 36-492). - False or misleading statements or omissions prohibited. - No person shall make or cause to be made orally...
Section 36b-24. (Formerly Sec. 36-493). - Findings by commissioner. - (a) Neither (1) the fact that an application for registration...
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...
Section 36b-26. (Formerly Sec. 36-495). - Investigative powers of commissioner. - (a) The commissioner may, subject to the provisions of the...
Section 36b-27. (Formerly Sec. 36-496). - Enforcement powers of commissioner. - (a) Whenever it appears to the commissioner after an investigation...
Section 36b-28. (Formerly Sec. 36-497). - Penalties. - (a) Any person who wilfully violates any provision of subsection...
Section 36b-29. (Formerly Sec. 36-498). - Buyer's remedies. - (a) Any person who: (1) Offers or sells a security...
Section 36b-30. (Formerly Sec. 36-499). - Appeals. - Any person aggrieved by a final decision of the commissioner...
Section 36b-31. (Formerly Sec. 36-500). - Regulatory power of commissioner. Hearings. - (a) The commissioner may from time to time make, amend...
Section 36b-32. (Formerly Sec. 36-501). - Filing of documents. Register of applications, statements and orders. Copies. - (a) A document is filed when it is received by...
Section 36b-32a. - Applicability of The Philanthropy Protection Act of 1995. - (a) Section 6 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. - (a) Sections 36b-4, 36b-5, 36b-6, 36b-16, 36b-24 and 36b-29 apply...
Section 36b-34. - Compliance with federal Currency and Foreign Transactions Reporting Act. - Each broker-dealer shall comply with the applicable provisions of the...
Chapter 672b - The Connecticut Tender Offer Act
Section 36b-40. (Formerly Sec. 36-456). - Short title: Connecticut Tender Offer Act. - Sections 36b-40 to 36b-52, inclusive, shall be known as the...
Section 36b-41. (Formerly Sec. 36-457). - Definitions. - Except as otherwise provided in sections 36b-40 to 36b-52, inclusive,...
Section 36b-42. (Formerly Sec. 36-458). - Tender offers prohibited. Exceptions. Filing and delivery of registration statement or Schedule 14D-1. - No person shall make a tender offer involving a target...
Section 36b-43. (Formerly Sec. 36-459). - Registration statement. Schedule 14D-1. - (a) The registration statement shall be filed on forms prescribed...
Section 36b-44. (Formerly Sec. 36-460). - Effective date of tender offer. Exceptions. Hearing by commissioner. - (a) A tender offer automatically becomes effective upon the commencement...
Section 36b-45. (Formerly Sec. 36-461). - Hearing by commissioner, when. Exceptions. - Any hearing scheduled by the commissioner shall be held within...
Section 36b-46. (Formerly Sec. 36-462). - Fraudulent, deceptive and manipulative acts or practices prohibited. - No offeror or target company or any affiliate of an...
Section 36b-47. (Formerly Sec. 36-463). - Terms of tender offer. Purchase of security prohibited while proceeding pending. - (a) No offeror may make a tender offer involving a...
Section 36b-48. (Formerly Sec. 36-464). - Administration by Banking Commissioner. Regulations. Exemptions. - (a) Sections 36b-40 to 36b-52, inclusive, shall be administered by...
Section 36b-49. (Formerly Sec. 36-465). - Filing fee. Cost of hearings. - (a) The commissioner shall charge a filing fee of five...
Section 36b-50. (Formerly Sec. 36-466). - Injunction. Commissioner not to post bond. - Whenever it appears to the commissioner that any person, including...
Section 36b-51. (Formerly Sec. 36-467). - Penalties. - (a) Any person, including a controlling person of an offeror...
Section 36b-52. (Formerly Sec. 36-468). - Appointment of commissioner as attorney for service of process. - Each offeror filing a registration statement or Schedule 14D-1, if...
Chapter 672c - Business Opportunity Investment Act
Section 36b-60. (Formerly Sec. 36-503). - Short title: Connecticut Business Opportunity Investment Act. - Sections 36b-60 to 36b-80, inclusive, may be cited as the...
Section 36b-61. (Formerly Sec. 36-504). - Definitions. - When used in sections 36b-60 to 36b-80, inclusive, unless the...
Section 36b-62. (Formerly Sec. 36-505). - Registration of business opportunities. Consent to service of process. - (a) No person shall sell or offer a business opportunity...
Section 36b-63. (Formerly Sec. 36-506). - Disclosure to purchaser-investor required. - (a) At least ten business days prior to the time...
Section 36b-64. (Formerly Sec. 36-507). - Surety bond or trust account. - If the business opportunity seller makes any of the representations...
Section 36b-65. (Formerly Sec. 36-508). - Exemptions. - (a) The following business opportunities are exempt from subsection (a)...
Section 36b-66. (Formerly Sec. 36-509). - Contract to be in writing. Information required. - (a) Every business opportunity contract or agreement shall be in...
Section 36b-67. (Formerly Sec. 36-510). - Prohibited sales activities. - No person shall in connection with the sale or offer...
Section 36b-68. (Formerly Sec. 36-511). - Stop orders. Summary postponement or suspension of effectiveness of registration. Procedure. Abandonment of application for registration. - (a) The commissioner may issue a stop order denying effectiveness...
Section 36b-69. (Formerly Sec. 36-512). - Registration does not imply approval. - (a) The fact that an application for registration under section...
Section 36b-70. (Formerly Sec. 36-513). - Banking Commissioner to administer. - Sections 36b-60 to 36b-80, inclusive, shall be administered by the...
Section 36b-71. (Formerly Sec. 36-514). - Investigations. Powers of commissioner. - (a) Subject to the provisions of the Freedom of Information...
Section 36b-72. (Formerly Sec. 36-515). - Violations. Enforcement powers of commissioner. Remedies. - (a) Whenever it appears to the commissioner, after an investigation,...
Section 36b-73. (Formerly Sec. 36-516). - Penalties. - (a) Any person who wilfully violates any provision of subdivision...
Section 36b-74. (Formerly Sec. 36-517). - Contracts voidable, when. Purchaser-investor's remedies. - (a) If a business opportunity seller uses any untrue or...
Section 36b-75. (Formerly Sec. 36-517a). - Application of certain provisions of chapter. When offer to sell or buy made in this state. - (a) Sections 36b-62, 36b-65, 36b-67, 36b-69 and 36b-74 apply to...
Section 36b-76. (Formerly Sec. 36-518). - Appeals. - Any person aggrieved by a final decision of the commissioner...
Section 36b-77. (Formerly Sec. 36-519). - Commissioner to adopt regulations. - (a) The commissioner may from time to time adopt, amend...
Section 36b-78. (Formerly Sec. 36-520). - Commissioner to keep register of applications. - (a) A document is filed when it is received by...
Section 36b-79. (Formerly Sec. 36-521). - Renewal of registration. Amended disclosure document. - Not later than one hundred twenty days after the end...
Section 36b-80. - False or misleading statements prohibited. - No person shall make or cause to be made orally...