Regulatory Alerts2001-06-30
Added · Updated
Summer 2001 Securities Bulletin
The Connecticut Department of Banking simplifies securities registration by coordination by designating the SEC's EDGAR system as an accepted depository, allowing filers to satisfy certain document requirements through online viewing rather than direct submission. This order reduces the mandatory fifteen-day waiting period to five business days and waives the two-day price information waiting period, provided the required filing fee is paid and the Commissioner is notified. Additionally, the bulletin mandates that all registered entities using trade or assumed names file a notice on Form DBA-1 with the Department of Banking prior to use, and it exempts transactions effected for foreign broker-dealer customers temporarily in the state from securities registration requirements.
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