Title 36b. Connecticut Securities Law and Business Opportunity Investment Act

Chapter 672. General Statement

• Conn. Gen. Stat. § 36b-1 General Statement

Chapter 672a. 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
• 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 to 36b-39 Reserved For Future Use

Chapter 672b. The Connecticut Tender Offer Act

• Conn. Gen. Stat. § 36b-40 (Formerly Sec. 36-456). Short Title: Connecticut Tender Offer Act
• Conn. Gen. Stat. § 36b-41 (Formerly Sec. 36-457). Definitions
• Conn. Gen. Stat. § 36b-42 (Formerly Sec. 36-458). Tender Offers Prohibited. Exceptions. Filing and Delivery of Registration Statement Or Schedule 14d-1
• Conn. Gen. Stat. § 36b-43 (Formerly Sec. 36-459). Registration Statement. Schedule 14d-1
• Conn. Gen. Stat. § 36b-44 (Formerly Sec. 36-460). Effective Date of Tender Offer. Exceptions. Hearing By Commissioner
• Conn. Gen. Stat. § 36b-45 (Formerly Sec. 36-461). Hearing By Commissioner, When. Exceptions
• Conn. Gen. Stat. § 36b-46 (Formerly Sec. 36-462). Fraudulent, Deceptive and Manipulative Acts Or Practices Prohibited
• Conn. Gen. Stat. § 36b-47 (Formerly Sec. 36-463). Terms of Tender Offer. Purchase of Security Prohibited While Proceeding Pending
• Conn. Gen. Stat. § 36b-48 (Formerly Sec. 36-464). Administration By Banking Commissioner. Regulations. Exemptions
• Conn. Gen. Stat. § 36b-49 (Formerly Sec. 36-465). Filing Fee. Cost of Hearings
• Conn. Gen. Stat. § 36b-50 (Formerly Sec. 36-466). Injunction. Commissioner Not to Post Bond
• Conn. Gen. Stat. § 36b-51 (Formerly Sec. 36-467). Penalties
• Conn. Gen. Stat. § 36b-52 (Formerly Sec. 36-468). Appointment of Commissioner As Attorney For Service of Process
• Conn. Gen. Stat. § 36b-53 to 36b-59 Reserved For Future Use

Chapter 672c. Business Opportunity Investment Act

• Conn. Gen. Stat. § 36b-60 (Formerly Sec. 36-503). Short Title: Connecticut Business Opportunity Investment Act
• Conn. Gen. Stat. § 36b-61 (Formerly Sec. 36-504). Definitions
• Conn. Gen. Stat. § 36b-62 (Formerly Sec. 36-505). Registration of Business Opportunities. Consent to Service of Process
• Conn. Gen. Stat. § 36b-63 (Formerly Sec. 36-506). Disclosure to Purchaser-Investor Required
• Conn. Gen. Stat. § 36b-64 (Formerly Sec. 36-507). Surety Bond Or Trust Account
• Conn. Gen. Stat. § 36b-65 (Formerly Sec. 36-508). Exemptions
• Conn. Gen. Stat. § 36b-66 (Formerly Sec. 36-509). Contract to Be In Writing. Information Required
• Conn. Gen. Stat. § 36b-67 (Formerly Sec. 36-510). Prohibited Sales Activities
• Conn. Gen. Stat. § 36b-68 (Formerly Sec. 36-511). Stop Orders. Summary Postponement Or Suspension of Effectiveness of Registration. Procedure. Abandonment of Application For Registration
• Conn. Gen. Stat. § 36b-69 (Formerly Sec. 36-512). Registration Does Not Imply Approval
• Conn. Gen. Stat. § 36b-70 (Formerly Sec. 36-513). Banking Commissioner to Administer
• Conn. Gen. Stat. § 36b-71 (Formerly Sec. 36-514). Investigations. Powers of Commissioner
• Conn. Gen. Stat. § 36b-72 (Formerly Sec. 36-515). Violations. Enforcement Powers of Commissioner. Remedies
• Conn. Gen. Stat. § 36b-73 (Formerly Sec. 36-516). Penalties
• Conn. Gen. Stat. § 36b-74 (Formerly Sec. 36-517). Contracts Voidable, When. Purchaser-Investor's Remedies
• Conn. Gen. Stat. § 36b-75 (Formerly Sec. 36-517a). Application of Certain Provisions of Chapter. When Offer to Sell Or Buy Made In This State
• Conn. Gen. Stat. § 36b-76 (Formerly Sec. 36-518). Appeals
• Conn. Gen. Stat. § 36b-77 (Formerly Sec. 36-519). Commissioner to Adopt Regulations
• Conn. Gen. Stat. § 36b-78 (Formerly Sec. 36-520). Commissioner to Keep Register of Applications
• Conn. Gen. Stat. § 36b-79 (Formerly Sec. 36-521). Renewal of Registration. Amended Disclosure Document
• Conn. Gen. Stat. § 36b-80 False Or Misleading Statements Prohibited