Regulatory Alerts2000-06-30
Added · Updated
Summer 2000 Securities Bulletin
The Commissioner of Banking waives the Series 65 examination requirement for investment adviser agent applicants holding the Chartered Financial Consultant (ChFC) or Chartered Life Underwriter (CLU) designations, provided they comply with continuing education requirements. The bulletin also clarifies that the Series 66 examination serves as an acceptable substitute for the Modified Series 65 exam and details grandfathering provisions for individuals registered as of January 1, 2000. Additionally, the document reports enforcement actions imposing fines of $10,000 and $30,000 against entities and individuals for violations of the Connecticut Business Opportunity Investment Act and the Uniform Securities Act.
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