Regulatory Alerts2003-09-30
Added · Updated
Fall 2003 Securities Bulletin
The Connecticut Department of Banking modifies licensing renewal procedures for investment advisers and agents, requiring electronic filing through the Investment Adviser Registration Depository (IARD) and discontinuing hard copy invoices effective November 2003. Registrations for personnel failing to transition to electronic filing will not be renewed after December 31, 2003. The Department also streamlines mutual fund notice filing renewals by providing pre-populated Form NF documents and offering wire transfer options for batch filings of ten or more. Additionally, the bulletin details enforcement actions, including notices of intent to deny registrations and fines against various entities and individuals for securities violations.
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