Regulatory Alerts2002-03-31
Added · Updated
Spring 2002 Securities Bulletin
The Connecticut Department of Banking requires federally covered investment adviser agents to register through the Investment Adviser Registration Depository (IARD) by October 2002. Licensing fees are waived for Connecticut residents on active military duty under Section 27-102a(a) of the Connecticut General Statutes. The Division imposes fines and bars individuals and firms for violations including selling unregistered securities, fraud, and operating without registration, with penalties ranging from $3,500 to $40,000.
More like this from CTDOB
CTDOB published 3 documents in the last 30 days. We email you each new one the day it's published.
Share