Chapter 672a. Uniform Securities Act
Section
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-22aInvestment 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-32aApplicability 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-34Compliance with federal Currency and Foreign Transactions Reporting Act.36b-35 to 36b-3936b-35 to 36b-39