Regulatory Alerts2014-01-03
Added · Updated
Bulletin 2602 - January 3, 2014
The Connecticut Department of Banking entered into a Stipulation and Agreement with Corre Opportunities Fund, L.P., requiring the payment of a $1,500 fine for failing to file Regulation D Rule 506 notices for offerings commencing in September 2009. The agreement mandates that the fund refrain from offering or selling securities in or from Connecticut absent compliance with Section 36b-16 of the Connecticut Uniform Securities Act. Written comments regarding this action must be submitted to Banking Commissioner Howard F. Pitkin within ten days of the bulletin's date.
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