Transferred from section 36-500, July 3, 1995 - (Sec. 36b-31-1 to Secs. 36b-31-32 to 36b-31-33)

  1. Sec. 36b-31-1 - Reserved
  2. Sec. 36b-31-2 - Authority
  3. Sec. 36b-31-3 - Definitions
  4. Sec. 36b-31-4 - Reserved
  5. Sec. 36b-31-5a - Advertisements by investment advisers
  6. Sec. 36b-31-5b - Custody or possession of client funds or securities
  7. Sec. 36b-31-5c - Disclosures to advisory clients
  8. Sec. 36b-31-5d - Statement of advisory fee
  9. Sec. 36b-31-5e - Assignment
  10. Sec. 36b-31-6a - Broker-dealer and agent registration
  11. Sec. 36b-31-6b - Investment adviser and investment adviser agent registration
  12. Sec. 36b-31-6c - Central registration depository
  13. Sec. 36b-31-6d - Temporary transfer procedures
  14. Sec. 36b-31-6e - Private securities transactions by broker-dealer agents
  15. Sec. 36b-31-6f - Supervision requirements
  16. Sec. 36b-31-6g - Multiple registration
  17. Sec. 36b-31-7a - Broker-dealer applicant experience requirements
  18. Sec. 36b-31-7b - Investment adviser experience requirements
  19. Sec. 36b-31-7c - Registration of real property securities dealers
  20. Sec. 36b-31-7d - Successor registration
  21. Sec. 36b-31-7e - Requirements for use of trade names by registrants
  22. Sec. 36b-31-8 - Reserved
  23. Sec. 36b-31-9a - Statement of financial condition
  24. Sec. 36b-31-9b - Net capital requirements for broker-dealers
  25. Sec. 36b-31-9c - Minimum capital requirements for investment advisers
  26. Secs. 36b-31-10 to 36b-31-13 - Reserved
  27. Sec. 36b-31-14a - Record keeping requirements for registered broker-dealers
  28. Sec. 36b-31-14b - Record keeping requirements for registered investment advisers
  29. Sec. 36b-31-14c - Filing of financial reports by broker-dealers
  30. Sec. 36b-31-14d - Filing of financial reports by investment advisers
  31. Sec. 36b-31-14e - Duty to amend information previously filed
  32. Sec. 36b-31-14f - Examinations by commissioner
  33. Sec. 36b-31-15a - Dishonest or unethical business practices by broker-dealers
  34. Sec. 36b-31-15b - Dishonest or unethical business practices by agents
  35. Sec. 36b-31-15c - Dishonest or unethical business practices by investment advisers
  36. Sec. 36b-31-15d - Dishonest or unethical business practices by investment adviser agents
  37. Sec. 36b-31-15e - Examination requirements for securities personnel
  38. Sec. 36b-31-15f - Summary orders
  39. Sec. 36b-31-16 - Reserved
  40. Sec. 36b-31-17a - Registration of securities by coordination
  41. Sec. 36b-31-17b - Shelf registration
  42. Sec. 36b-31-17c - Registration by coordination of unit investment trust securities
  43. Sec. 36b-31-18 - Registration of securities by qualification
  44. Sec. 36b-31-18a - Small corporate offering registration (SCOR)
  45. Sec. 36b-31-19a - Provisions applicable to registration generally
  46. Sec. 36b-31-19b - Registration of investment company shares
  47. Sec. 36b-31-19c - Post-sale registration
  48. Sec. 36b-31-19d - Registration of offerings eligible to utilize the securities and exchange commission multijurisdictional disclosure system
  49. Sec. 36b-31-20 - Reserved
  50. Secs. 36b-31-21a-1 to 36b-31-21a-8 - Reserved
  51. Sec. 36b-31-21a-9 - Exemption for securities issued by nonprofit organizations
  52. Secs. 36b-31-21a-10 to 36b-31-21a-21 - Reserved
  53. Sec. 36b-31-21b-1 - Exemption for isolated non-issuer transactions
  54. Sec. 36b-31-21b-2 - Manual exemption
  55. Sec. 36b-31-21b-3 - Exemption for non-issuer transaction through a registered broker-dealer
  56. Secs. 36b-31-21b-4 to 36b-31-21b-8 - Reserved
  57. Sec. 36b-31-21b-9a - Exemption for transactions pursuant to Section 4 (2) of the Securities Act of 1933
  58. Sec. 36b-31-21b-9b - Exemption for transactions pursuant to rules 504, 505 and 506 of regulation D
  59. Sec. 36b-31-21b-10 - Reserved
  60. Sec. 36b-31-21b-11 - Exemption for transactions pursuant to an offer to existing security holders of the issuer
  61. Sec. 36b-31-21b-12 - Reserved
  62. Sec. 36b-31-21b-13a - Exemption for transactions pursuant to Sections 4 (1) or 4 (4) of the securities act of 1933
  63. Sec. 36b-31-21b-13b - Exemption for transactions pursuant to section 4 (6) of the securities act of 1933
  64. Sec. 36b-31-21b-14 - Exemption for transactions not involving more than 10 purchasers
  65. Sec. 36b-31-21b-15 - Reserved
  66. Sec. 36b-31-21c - Summary denial or revocation of exemption
  67. Sec. 36b-31-22 - Filing of sales literature with the commissioner
  68. Secs. 36b-31-23 to 36b-31-30 - Reserved
  69. Sec. 36b-31-31a - Forms
  70. Sec. 36b-31-31b - Filing of documents; filing fees
  71. Sec. 36b-31-31c - Exemptions from sections 36b-31-2 to 36b-31-33, inclusive, of the regulations
  72. Sec. 36b-31-31d - Incorporation of federal statutes, rules and opinions
  73. Sec. 36b-31-31e - Advisory interpretations
  74. Sec. 36b-31-31f - Hearings
  75. Secs. 36b-31-32 to 36b-31-33 - Reserved

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