Regulatory Alerts2002-12-31
Added · Updated
Connecticut Securities Bulletin Winter 2002: Mandatory IARD Filing Order
Effective April 1, 2003, investment adviser agents and investment advisory firms registered under Connecticut law must file registration applications, renewals, and amendments through the Investment Adviser Registration Depository (IARD). This mandate applies to all entities required to register under Section 36b-6(c) of the Connecticut Uniform Securities Act, including the payment of associated regulatory filing fees. The order also preserves the Commissioner's authority to request supplemental information directly from filers when necessary.
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