Regulatory Alerts2005-09-30
Added · Updated
Fall 2005 Securities Bulletin
Connecticut-registered investment advisers are exempt from filing advertising material with the Division, though such materials must be retained for examination. Effective October 31, 2005, broker-dealers and investment advisers must file new branch office registrations and amendments electronically via CRD/IARD, with pre-existing registrations required to transition by May 1, 2006. The Division will not pursue enforcement actions against financial professionals displaced by Hurricanes Katrina or Rita who meet specific conditions regarding pre-existing clients and home state registration.
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