Regulatory Alerts2005-03-31
Added · Updated
Connecticut Securities Bulletin Spring 2005
The Connecticut Department of Banking streamlines the securities registration by coordination process for EDGAR filers, requiring only four specific paper items and eliminating redundant filings. Connecticut-registered broker-dealers complying with NASD financial reporting requirements are exempt from filing annual audited financial statements, except in cases of net capital deficiency or specific regulatory requests. The bulletin also details enforcement actions, including the summary suspension of agent David Michael Faubert, the revocation of Richmark Capital Corporation's registration, and fines imposed on Anthony John Catinella and Richmark Capital Corporation for various securities violations.
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