Title 36b. Connecticut Securities Law and Business Opportunity Investment Act
Chapter 672. General Statement
Chapter 672a. Uniform Securities Act
- Chapter 672a. Uniform Securities Act [Details]
- § 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
- § 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
- § 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-22a. Investment 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-32a. Applicability 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-34. Compliance With Federal Currency and Foreign Transactions Reporting Act
- § 36b-35 to 36b-39. Reserved For Future Use
Chapter 672b. The Connecticut Tender Offer Act
- § 36b-40. (Formerly Sec. 36-456). Short Title: Connecticut Tender Offer Act
- § 36b-41. (Formerly Sec. 36-457). Definitions
- § 36b-42. (Formerly Sec. 36-458). Tender Offers Prohibited. Exceptions. Filing and Delivery of Registration Statement Or Schedule 14d-1
- § 36b-43. (Formerly Sec. 36-459). Registration Statement. Schedule 14d-1
- § 36b-44. (Formerly Sec. 36-460). Effective Date of Tender Offer. Exceptions. Hearing By Commissioner
- § 36b-45. (Formerly Sec. 36-461). Hearing By Commissioner, When. Exceptions
- § 36b-46. (Formerly Sec. 36-462). Fraudulent, Deceptive and Manipulative Acts Or Practices Prohibited
- § 36b-47. (Formerly Sec. 36-463). Terms of Tender Offer. Purchase of Security Prohibited While Proceeding Pending
- § 36b-48. (Formerly Sec. 36-464). Administration By Banking Commissioner. Regulations. Exemptions
- § 36b-49. (Formerly Sec. 36-465). Filing Fee. Cost of Hearings
- § 36b-50. (Formerly Sec. 36-466). Injunction. Commissioner Not to Post Bond
- § 36b-51. (Formerly Sec. 36-467). Penalties
- § 36b-52. (Formerly Sec. 36-468). Appointment of Commissioner As Attorney For Service of Process
- § 36b-53 to 36b-59. Reserved For Future Use
Chapter 672c. Business Opportunity Investment Act
- Chapter 672c. Business Opportunity Investment Act [Details]
- § 36b-60. (Formerly Sec. 36-503). Short Title: Connecticut Business Opportunity Investment Act
- § 36b-61. (Formerly Sec. 36-504). Definitions
- § 36b-62. (Formerly Sec. 36-505). Registration of Business Opportunities. Consent to Service of Process
- § 36b-63. (Formerly Sec. 36-506). Disclosure to Purchaser-Investor Required
- § 36b-64. (Formerly Sec. 36-507). Surety Bond Or Trust Account Required, When
- § 36b-65. (Formerly Sec. 36-508). Registration and Application By Seller of Business Opportunity. Financial Statement. Registration Fee. Exemptions
- § 36b-66. (Formerly Sec. 36-509). Contract to Be In Writing. Information Required
- § 36b-67. (Formerly Sec. 36-510). Prohibited Sales Activities
- § 36b-68. (Formerly Sec. 36-511). Stop Orders. Registration Suspended, Revoked Or Abandoned, When. Procedure
- § 36b-69. (Formerly Sec. 36-512). Registration Does Not Imply Approval
- § 36b-70. (Formerly Sec. 36-513). Banking Commissioner to Administer
- § 36b-71. (Formerly Sec. 36-514). Investigations. Powers of Commissioner
- § 36b-72. (Formerly Sec. 36-515). Violations. Enforcement Powers of Commissioner. Remedies
- § 36b-73. (Formerly Sec. 36-516). Penalties
- § 36b-74. (Formerly Sec. 36-517). Contracts Voidable, When. Purchaser-Investor's Remedies
- § 36b-75. (Formerly Sec. 36-517a). Application of Certain Provisions of Chapter. When Offer to Sell Or Buy Made In This State
- § 36b-76. (Formerly Sec. 36-518). Appeals
- § 36b-77. (Formerly Sec. 36-519). Commissioner to Adopt Regulations
- § 36b-78. (Formerly Sec. 36-520). Commissioner to Keep Register of Applications
- § 36b-79. (Formerly Sec. 36-521). Renewal of Registration. Amended Disclosure Document
- § 36b-80. False Or Misleading Statements Prohibited