Sec. 36b-9. (Formerly Sec. 36-477). Statement of financial condition.
130 words·~1 min read·
/ct/title-36b/chapter-672a-uniform-securities-act/36b-9·A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
The commissioner may require that each application for registration of a broker-dealer or investment adviser be accompanied by a true and correct statement of financial condition, in such form and containing such data as the commissioner may require. Such statement of financial condition shall be sworn to, before a person qualified to administer oaths, by the applicant, and shall state that the alleged facts therein contained are true to his own knowledge. If such applicant is a partnership, such oath shall be made by a general partner thereof, and, if such applicant is a corporation or other form of association, such oath shall be made by an executive officer thereof.
Such statement of financial condition shall be kept in a confidential file and shall not be open to the public.