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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...