Chapter 672a - Uniform Securities Act

Chapter 672a - Uniform Securities Act

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

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