Connecticut Uniform Securities Act | Midpage

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Regulations of Connecticut State Agencies

36b-31

Connecticut Uniform Securities Act

Department of Banking

36b-31-2Authority 36b-31-3Definitions 36b-31-5aAdvertisements by investment advisers 36b-31-5bCustody or possession of client funds or securities 36b-31-5cDisclosures to advisory clients 36b-31-5dStatement of advisory fee 36b-31-5eAssignment 36b-31-6aBroker-dealer and agent registration 36b-31-6bInvestment adviser and investment adviser agent registration 36b-31-6cCentral registration depository 36b-31-6dTemporary transfer procedures 36b-31-6ePrivate securities transactions by broker-dealer agents 36b-31-6fSupervision requirements 36b-31-6gMultiple registration 36b-31-7aBroker-dealer applicant experience requirements 36b-31-7bInvestment adviser experience requirements 36b-31-7cRegistration of real property securities dealers 36b-31-7dSuccessor registration 36b-31-7eRequirements for use of trade names by registrants 36b-31-9aStatement of financial condition 36b-31-9bNet capital requirements for broker-dealers 36b-31-9cMinimum capital requirements for investment advisers 36b-31-14aRecord keeping requirements for registered broker-dealers 36b-31-14bRecord keeping requirements for registered investment advisers 36b-31-14cFiling of financial reports by broker-dealers 36b-31-14dFiling of financial reports by investment advisers 36b-31-14eDuty to amend information previously filed 36b-31-14fExaminations by commissioner 36b-31-15aDishonest or unethical business practices by broker-dealers 36b-31-15bDishonest or unethical business practices by agents 36b-31-15cDishonest or unethical business practices by investment advisers 36b-31-15dDishonest or unethical business practices by investment adviser agents 36b-31-15eExamination requirements for securities personnel 36b-31-15fSummary orders 36b-31-17aRegistration of securities by coordination 36b-31-17bShelf registration 36b-31-17cRegistration by coordination of unit investment trust securities 36b-31-18Registration of securities by qualification 36b-31-18aSmall corporate offering registration (SCOR)36b-31-19aProvisions applicable to registration generally 36b-31-19bRegistration of investment company shares 36b-31-19cPost-sale registration 36b-31-19dRegistration of offerings eligible to utilize the securities and exchange commission multijurisdictional disclosure system 36b-31-21a-9Exemption for securities issued by nonprofit organizations 36b-31-21b-1Exemption for isolated non-issuer transactions 36b-31-21b-2Manual exemption 36b-31-21b-3Exemption for non-issuer transaction through a registered broker-dealer 36b-31-21b-9aExemption for transactions pursuant to Section 4 (2) of the Securities Act of 1933 36b-31-21b-9bExemption for transactions pursuant to rules 504, 505 and 506 of regulation D 36b-31-21b-11Exemption for transactions pursuant to an offer to existing security holders of the issuer 36b-31-21b-13aExemption for transactions pursuant to Sections 4 (1) or 4 (4) of the securities act of 1933 36b-31-21b-13bExemption for transactions pursuant to section 4 (6) of the securities act of 1933 36b-31-21b-14Exemption for transactions not involving more than 10 purchasers 36b-31-21cSummary denial or revocation of exemption 36b-31-22Filing of sales literature with the commissioner 36b-31-31aForms 36b-31-31bFiling of documents; filing fees 36b-31-31cExemptions from sections 36b-31-2 to 36b-31-33, inclusive, of the regulations 36b-31-31dIncorporation of federal statutes, rules and opinions 36b-31-31eAdvisory interpretations 36b-31-31fHearings