Uniform Securities Act

  1. Law
  2. Connecticut General Statutes
  3. Connecticut Securities Law and Business Opportunity Investment Act
  4. Uniform Securities Act

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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.

Sections
36b-35 to 36b-39

Reserved for future use.