Chapter
Uniform Securities Act
- Conn. Gen. Stat. § 36b-2— (Formerly Sec. 36-470). Short title: Connecticut Uniform Securities Act
- Conn. Gen. Stat. § 36b-3— (Formerly Sec. 36-471). Definitions
- Conn. Gen. Stat. § 36b-4— (Formerly Sec. 36-472). Prohibited activities re the offer, sale or purchase of any security. Regulations
- Conn. Gen. Stat. § 36b-5— (Formerly Sec. 36-473). Prohibited activities of investment advisers and persons who solicit advisory business on behalf of investment advisers
- Conn. Gen. Stat. § 36b-6— (Formerly Sec. 36-474). Broker-dealer, agent or investment adviser required to register. Exemptions. Branch offices. Notice re termination of business
- Conn. Gen. Stat. § 36b-7— (Formerly Sec. 36-475). Application for initial or renewal registration. Registration conditions. Waiver of specific registration requirements
- Conn. Gen. Stat. § 36b-8— (Formerly Sec. 36-476). Investigation of applicant for registration. Register
- Conn. Gen. Stat. § 36b-9— (Formerly Sec. 36-477). Statement of financial condition
- Conn. Gen. Stat. § 36b-10— (Formerly Sec. 36-478). Application for registration to be under oath
- Conn. Gen. Stat. § 36b-11— (Formerly Sec. 36-479). Photograph to accompany each application for registration
- Conn. Gen. Stat. § 36b-12— (Formerly Sec. 36-480). Application and registration fees
- Conn. Gen. Stat. § 36b-13— (Formerly Sec. 36-481). Registration renewal. Requirements
- Conn. Gen. Stat. § 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
- Conn. Gen. Stat. § 36b-15— (Formerly Sec. 36-484). Denial, suspension or revocation of registration by commissioner. Withdrawal from registration or of application
- Conn. Gen. Stat. § 36b-16— (Formerly Sec. 36-485). Registration of security prior to offer or sale required. Exceptions
- Conn. Gen. Stat. § 36b-17— (Formerly Sec. 36-486). Registration of security by coordination. Registration statement. Contents. Effective date
- Conn. Gen. Stat. § 36b-18— (Formerly Sec. 36-487). Registration of security by qualification. Statement contents. Effective date
- Conn. Gen. Stat. § 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
- Conn. Gen. Stat. § 36b-20— (Formerly Sec. 36-489). Stop order. When issued by commissioner. Registration statement deemed abandoned, when
- Conn. Gen. Stat. § 36b-21— (Formerly Sec. 36-490). Exemption of certain securities and transactions. Denial or revocation of exemption
- Conn. Gen. Stat. § 36b-22— (Formerly Sec. 36-491). Filing of material intended for distribution to prospective investors
- Conn. Gen. Stat. § 36b-22a— Investment advisers and investment adviser agents to provide schedule of charges, fees and penalties to clients
- Conn. Gen. Stat. § 36b-23— (Formerly Sec. 36-492). False or misleading statements or omissions prohibited
- Conn. Gen. Stat. § 36b-24— (Formerly Sec. 36-493). Findings by commissioner
- Conn. Gen. Stat. § 36b-25— (Formerly Sec. 36-494). Administration of chapter. Use and disclosure of information obtained under chapter
- Conn. Gen. Stat. § 36b-26— (Formerly Sec. 36-495). Investigative powers of commissioner
- Conn. Gen. Stat. § 36b-27— (Formerly Sec. 36-496). Enforcement powers of commissioner
- Conn. Gen. Stat. § 36b-28— (Formerly Sec. 36-497). Penalties
- Conn. Gen. Stat. § 36b-29— (Formerly Sec. 36-498). Buyer's remedies
- Conn. Gen. Stat. § 36b-30— (Formerly Sec. 36-499). Appeals
- Conn. Gen. Stat. § 36b-31— (Formerly Sec. 36-500). Regulatory power of commissioner. Hearings
- Conn. Gen. Stat. § 36b-32— (Formerly Sec. 36-501). Filing of documents. Register of applications, statements and orders. Copies
- Conn. Gen. Stat. § 36b-32a— Applicability of The Philanthropy Protection Act of 1995
- Conn. Gen. Stat. § 36b-33— (Formerly Sec. 36-502). Applicability of chapter to offers to buy or sell. Appointment of commissioner as attorney for process
- Conn. Gen. Stat. § 36b-34— Compliance with federal Currency and Foreign Transactions Reporting Act
- Conn. Gen. Stat. § 36b-35