Connecticut General Statutes (Last Updated: November 2, 2019) |
Volume 10. |
Title 36b. Connecticut Securities Law and Business Opportunity Investment Act |
Chapter 672a. Uniform Securities Act |
Sec. 36b-2. (Formerly Sec. 36-470). Short title: Connecticut Uniform Securities Act. |
Sec. 36b-3. (Formerly Sec. 36-471). Definitions. |
Sec. 36b-4. (Formerly Sec. 36-472). Prohibited activities re the offer, sale or purchase of any security. Regulations. |
Sec. 36b-5. (Formerly Sec. 36-473). Prohibited activities of investment advisers and persons who solicit advisory business on behalf of investment advisers. |
Sec. 36b-6. (Formerly Sec. 36-474). Broker-dealer, agent or investment adviser required to register. Exemptions. Branch offices. Notice re termination of business. |
Sec. 36b-7. (Formerly Sec. 36-475). Application for initial or renewal registration. Registration conditions. Waiver of specific registration requirements. |
Sec. 36b-8. (Formerly Sec. 36-476). Investigation of applicant for registration. Register. |
Sec. 36b-9. (Formerly Sec. 36-477). Statement of financial condition. |
Sec. 36b-10. (Formerly Sec. 36-478). Application for registration to be under oath. |
Sec. 36b-11. (Formerly Sec. 36-479). Photograph to accompany each application for registration. |
Sec. 36b-12. (Formerly Sec. 36-480). Application and registration fees. |
Sec. 36b-13. (Formerly Sec. 36-481). Registration renewal. Requirements. |
Sec. 36b-14. (Formerly Sec. 36-482). Records and financial reports required. |
Sec. 36b-15. (Formerly Sec. 36-484). Denial, suspension or revocation of registration by commissioner. Withdrawal from registration or of application. |
Sec. 36b-16. (Formerly Sec. 36-485). Registration of security prior to offer or sale required. Exceptions. |
Sec. 36b-17. (Formerly Sec. 36-486). Registration of security by coordination. Registration statement. Contents. Effective date. |
Sec. 36b-18. (Formerly Sec. 36-487). Registration of security by qualification. Statement contents. Effective date. |
Sec. 36b-20. (Formerly Sec. 36-489). Stop order. When issued by commissioner. Registration statement deemed abandoned, when. |
Sec. 36b-21. (Formerly Sec. 36-490). Exemption of certain securities and transactions. Denial or revocation of exemption. |
Sec. 36b-22. (Formerly Sec. 36-491). Filing of material intended for distribution to prospective investors. |
Sec. 36b-22a. Investment advisers and investment adviser agents to provide schedule of charges, fees and penalties to clients. |
Sec. 36b-23. (Formerly Sec. 36-492). False or misleading statements or omissions prohibited. |
Sec. 36b-24. (Formerly Sec. 36-493). Findings by commissioner. |
Sec. 36b-25. (Formerly Sec. 36-494). Administration of chapter. Use and disclosure of information obtained under chapter. |
Sec. 36b-26. (Formerly Sec. 36-495). Investigative powers of commissioner. |
Sec. 36b-27. (Formerly Sec. 36-496). Enforcement powers of commissioner. |
Sec. 36b-28. (Formerly Sec. 36-497). Penalties. |
Sec. 36b-29. (Formerly Sec. 36-498). Buyer's remedies. |
Sec. 36b-30. (Formerly Sec. 36-499). Appeals. |
Sec. 36b-31. (Formerly Sec. 36-500). Regulatory power of commissioner. Hearings. |
Sec. 36b-32. (Formerly Sec. 36-501). Filing of documents. Register of applications, statements and orders. Copies. |
Sec. 36b-32a. Applicability of The Philanthropy Protection Act of 1995. |
Sec. 36b-33. (Formerly Sec. 36-502). Applicability of chapter to offers to buy or sell. Appointment of commissioner as attorney for process. |
Sec. 36b-34. Compliance with federal Currency and Foreign Transactions Reporting Act. |
Secs. 36b-35to36b-39. [Reserved] |
Notations
*Annotations to former chapter 662:
Cited. 200 C. 172; 219 C. 204; 230 C. 486.
Cited. 10 CA 22; 21 CA 32; 28 CA 653.
Cited. 39 CS 462; 42 CS 439.
Annotations to present chapter:
Cited. 233 C. 304; Id., 352; 235 C. 465; 242 C. 17.
Cited. 44 CS 72; 45 CS 24.