Sec. 36b-31-21b-13b - Exemption for transactions pursuant to section 4 (6) of the securities act of 1933

§ 36b-31-21b-13b. Exemption for transactions pursuant to section 4 (6) of the securities act of 1933

For purposes of section 36b-21(b) (13) of the general statutes, as amended, issuers relying on the exemption in Section 4 (6) of the Securities Act of 1933 shall, prior to the first sale of securities in this state, file with the commissioner (a) a notice on Form D, 17 C.F.R. § 239.500 under the Securities Act of 1933, manually signed by a person duly authorized by the issuer which includes an undertaking by the issuer to furnish state securities administrators, upon their written request, with information furnished by the issuer to offerees; (b) a Uniform Consent to Service of Process (Form U-2) executed pursuant to section 36b-33(g) of the general statutes; and (c) the filing fee prescribed under section 36b-21(b) (13) of the general statutes. The issuer shall also provide the commissioner with the name and address of the person who will offer or sell the securities in this state, whether the person offering or selling the securities in Connecticut shall receive any direct or indirect remuneration related to offers or sales of such securities and whether such person is engaged in the business of effecting securities transactions.

(Effective August 22, 1994; Transferred July 3, 1995)

The following state regulations pages link to this page.