Regulatory Alerts2000-12-31
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Connecticut Securities Bulletin Winter 2000: Branch Office Registration Changes and Enforcement Actions
Effective February 1, 2001, the Connecticut Department of Banking exempts SEC-registered investment advisers from the requirement to register in-state branch offices and pay the associated $100 fee. The Division consolidated branch office registration forms into a single unitary form for joint broker-dealer and state-regulated investment adviser branches, maintaining a $200 total filing fee for shared locations. The bulletin also details enforcement actions, including cease and desist orders, fines, and registration denials against entities such as Hampton Securities, Inc., First Providence Financial Group, LLC, and Chemical Trust for violations including unregistered securities sales and failure to maintain supervisory procedures.
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