Regulatory Alerts2003-03-31
Added · Updated
Spring 2003 Securities Bulletin
Electronic filing through the Investment Adviser Registration Depository becomes a mandatory precondition for the renewal of investment adviser firms and agents effective April 1, 2003. Connecticut-registered broker-dealers currently compliant with Self-Regulatory Organization financial reporting requirements are granted a waiver from filing annual audited financial statements with the state department. The bulletin also announces the availability of fillable PDF versions of Form D and Part II of Form ADV to facilitate electronic submissions. Additionally, it details enforcement actions including the revocation of broker-dealer and agent registrations for Discovery Capital Group, Inc. and related individuals, and notices of intent to fine The Marketrack Investment Club for selling unregistered securities.
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