Regulatory Alerts2004-03-31
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Spring 2004 Securities Bulletin
The Connecticut Banking Commissioner amended the Accredited Investor Exemption Order to update statutory references and allow waiver of disciplinary disqualifiers. Public Act 04-45, effective October 1, 2004, extends the statute of limitations for private civil actions involving securities fraud from one to two years and clarifies registration expiration dates and transfer fee obligations. Additionally, registered broker-dealers that are NASD member firms and comply with federal financial reporting requirements are exempt from filing annual audited financial statements with the state.
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