Sec. 36b-22. (Formerly Sec. 36-491). Filing of material intended for distribution to prospective investors.
98 words·~1 min read·
/ct/title-36b/chapter-672a-uniform-securities-act/36b-22·A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
The commissioner may, by regulation adopted, in accordance with chapter 54, or order, require the filing of any prospectus, pamphlet, circular, form letter, advertisement or other sales literature or advertising communication addressed or intended for distribution to prospective investors, including clients or prospective clients of an investment adviser registered or required to be registered under sections 36b-2 to 36b-34 , inclusive, unless the security or transaction is
(1)exempted by subsection
(a)or
(b)of section 36b-21 , except for transactions exempted by subdivision
(13)of subsection
(b)of said section 36b-21 , or
(2)a covered security.