Regulatory Alerts2000-09-30
Added · Updated
Fall 2000 Securities Bulletin
The Connecticut Commissioner of Banking exempts foreign broker-dealers from state licensing when they engage in transactions exempt from SEC registration under Rule 15a-6 or Rule 237, specifically covering Canadian Retirement Accounts. Effective January 1, 2001, SEC-registered investment advisers must file Part 1 of Form ADV electronically through the Investment Adviser Registration Depository (IARD) and remit notice filing fees. State-registered investment advisers may optionally use the IARD for electronic filings or continue with paper submissions. The bulletin also adopts SEC revisions to Part 1 of Form ADV and Form ADV-W effective October 10, 2000.
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