Regulatory Alerts2007-06-30
Added · Updated
Summer 2007 Securities Bulletin
State-registered investment advisers may now submit Form ADV Part II electronically via the IARD system, and Connecticut no longer requires Form U-1 Supplement filings for securities registration by coordination. Public Act 07-91 expanded the Commissioner's authority under Sections 36b-15(c) and 36b-27(a) to require registrants to take or refrain from specific actions pending proceedings or cease and desist orders. The Division sanctioned multiple entities for unregistered securities sales and regulatory violations, including imposing a $600,000 fine on Great Eastern Securities, Inc., a $30,000 penalty on Southern Connecticut Financial Services, Inc., and a $20,000 penalty on The Private Mortgage Fund, LLC.
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