Regulatory Alerts2026-01-02
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Bulletin 3228 - January 2, 2026
The Banking Commissioner entered into a Stipulation and Agreement with Edge Partners Capital LLC, fining the firm $4,500 for failing to fulfill filing requirements as a federally exempt reporting adviser and for violating Sections 36b-16 and 36b-21(e) of the Connecticut Uniform Securities Act by not making timely Rule 506 notice filings for seven funds. Although the filing deficiencies were subsequently cured, the agreement mandates that the firm refrain from future regulatory violations. Written comments regarding this action must be directed to Banking Commissioner Jorge L. Perez within ten business days of the bulletin's date.
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