Collections
Connecticut General Statutes
Title 36b
Chapter 672a
Conn. Gen. Stat. ch. 672a
Uniform Securities Act
Learn More
Log In
Sign Up
36b-2
(Formerly Sec. 36-470). Short title: Connecticut Uniform Securities Act.
36b-3
(Formerly Sec. 36-471). Definitions.
36b-4
(Formerly Sec. 36-472). Prohibited activities re the offer, sale or purchase of any security. Regulations.
36b-5
(Formerly Sec. 36-473). Prohibited activities of investment advisers and persons who solicit advisory business on behalf of investment advisers.
36b-6
(Formerly Sec. 36-474). Broker-dealer, agent or investment adviser required to register. Exemptions. Branch offices. Notice re termination of business.
36b-7
(Formerly Sec. 36-475). Application for initial or renewal registration. Registration conditions. Waiver of specific registration requirements.
36b-8
(Formerly Sec. 36-476). Investigation of applicant for registration. Register.
36b-9
(Formerly Sec. 36-477). Statement of financial condition.
36b-10
(Formerly Sec. 36-478). Application for registration to be under oath.
36b-11
(Formerly Sec. 36-479). Photograph to accompany each application for registration.
36b-12
(Formerly Sec. 36-480). Application and registration fees.
36b-13
(Formerly Sec. 36-481). Registration renewal. Requirements.
36b-14
(Formerly Sec. 36-482). Records and financial reports required. Definitions. Disclosure of financial exploitation or suspected exploitation. Trusted contact person. Hold on disbursement or transaction. Immunity.
36b-15
(Formerly Sec. 36-484). Denial, suspension or revocation of registration by commissioner. Withdrawal from registration or of application.
36b-16
(Formerly Sec. 36-485). Registration of security prior to offer or sale required. Exceptions.
36b-17
(Formerly Sec. 36-486). Registration of security by coordination. Registration statement. Contents. Effective date.
36b-18
(Formerly Sec. 36-487). Registration of security by qualification. Statement contents. Effective date.
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.
36b-20
(Formerly Sec. 36-489). Stop order. When issued by commissioner. Registration statement deemed abandoned, when.
36b-21
(Formerly Sec. 36-490). Exemption of certain securities and transactions. Denial or revocation of exemption.
36b-22
(Formerly Sec. 36-491). Filing of material intended for distribution to prospective investors.
36b-22a
Investment advisers and investment adviser agents to provide schedule of charges, fees and penalties to clients.
36b-23
(Formerly Sec. 36-492). False or misleading statements or omissions prohibited.
36b-24
(Formerly Sec. 36-493). Findings by commissioner.
36b-25
(Formerly Sec. 36-494). Administration of chapter. Use and disclosure of information obtained under chapter.
36b-26
(Formerly Sec. 36-495). Investigative powers of commissioner.
36b-27
(Formerly Sec. 36-496). Enforcement powers of commissioner.
36b-28
(Formerly Sec. 36-497). Penalties.
36b-29
(Formerly Sec. 36-498). Buyer's remedies.
36b-30
(Formerly Sec. 36-499). Appeals.
36b-31
(Formerly Sec. 36-500). Regulatory power of commissioner. Hearings.
36b-32
(Formerly Sec. 36-501). Filing of documents. Register of applications, statements and orders. Copies.
36b-32a
Applicability of The Philanthropy Protection Act of 1995.
36b-33
(Formerly Sec. 36-502). Applicability of chapter to offers to buy or sell. Appointment of commissioner as attorney for process.
36b-34
Compliance with federal Currency and Foreign Transactions Reporting Act.
36b-35 to 36b-39
Conn. Gen. Stat. § 36b-35 to 36b-39