Sec. 36b-22a. Investment advisers and investment adviser agents to provide schedule of charges, fees and penalties to clients.
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/ct/title-36b/chapter-672a-uniform-securities-act/36b-22a·A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
Each investment adviser required to register under section 36b-6 or investment adviser agent, as defined in section 36b-3 , except an investment adviser representative, as defined in Securities and Exchange Commission Rule 203A-3, 17 CFR 275.203A-3, shall provide to each customer or client, upon request, a schedule of any charges, fees or penalties imposed on a customer or client for the acquisition, transfer or holding of securities. Such schedule shall fully disclose any variance, advantage or economy of volume purchases to be realized by the customer or client.