Regulatory Alerts2009-03-31
Added · Updated
Spring 2009 Securities Bulletin
The Connecticut Department of Banking’s Securities Division streamlined filing requirements for securities private placements, eliminating the need for Regulation D amendments and post-effective amendments for entities filing electronically via the SEC's EDGAR system. Connecticut registered broker-dealers that are FINRA members and current on federal financial reporting are exempt from filing annual audited financial statements with the department. The bulletin also details enforcement actions, including consent orders and stipulations requiring fines ranging from $1,500 to $85,879, rescission offers, and compliance obligations for entities such as Press-A-Print International LLC, Morgan Stanley & Co. Incorporated, and Euro Pacific Capital, Inc.
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