Connecticut Administrative Code

Regulations of Connecticut State AgenciesSec. 36a-744-1. Authority, scope, purpose(a) Sections 36a-744-1 to 36a-744-8, inclusive, comprise the regulations adopted by the commissioner pursuant to the Home Mortgage Disclosure Act, Part IX of Chapter 669 of the Connecticut General S…

Regulations of Connecticut State AgenciesSec. 36a-744-2. DefinitionsAs used in sections 36a-744-1 to 36a-744-8, inclusive, of the Regulations of Connecticut State Agencies, unless the context otherwise requires: (1) \"Act\" means the Home Mortgage Disclosure Act (Part IX of Chapt…

Regulations of Connecticut State AgenciesSec. 36a-744-3. Prohibited practices(a) No financial institution and no federal bank shall discriminate, on a basis that is arbitrary or unsupported by a reasonable analysis of the lending risks associated with the applicant for a given lo…

Regulations of Connecticut State AgenciesSec. 36a-744-4. Compilation of mortgage loan data(a) Unless exempt under Section 36a-744-6 of the Regulations of Connecticut State Agencies, financial institutions shall compile the loan data required under the federal Home Mortgage Disclo…

Regulations of Connecticut State AgenciesSec. 36a-744-5. Disclosure requirements(a) A financial institution which becomes subject to the requirements of Sections 36a-744-1 to 36a-744-8, inclusive, of the Regulations of Connecticut State Agencies, shall compile loan data beginning…

Regulations of Connecticut State AgenciesSec. 36a-744-6. ExemptionsA financial institution is exempt from the compilation of data and disclosure requirements contained in Sections 36a-744-4 and 36a-744-5 of the Regulations of Connecticut State Agencies if the financial institutio…

Regulations of Connecticut State AgenciesSec. 36a-744-7. Compliance and investigation(a) In order to provide for adequate records by which to monitor compliance with the provisions of the act, each financial institution shall retain all applications subject to the act and section…

Regulations of Connecticut State AgenciesSec. 36a-744-8. Violations and sanctions(a) Any applicant who has been discriminated against as a result of a violation of Section 36a-737 of the act and Section 36a-744-3 of the Regulations of Connecticut State Agencies may bring an actio…

Regulations of Connecticut State AgenciesSec. 36a-809-10. Harassment or abuseA consumer collection agency shall not engage in any conduct the natural consequence of which is to harass, oppress or abuse any person in connection with the collection of a debt. Without limiting the g…

Regulations of Connecticut State AgenciesSec. 36a-809-11. False or misleading representationsA consumer collection agency shall not use any false, deceptive or misleading representation or means in connection with the collection of any debt. Without limiting the general applicati…

Regulations of Connecticut State AgenciesSec. 36a-809-12. Unfair practicesA consumer collection agency shall not use unfair or unconscionable means to collect or attempt to collect any debt. Without limiting the general application of the foregoing, the following conduct is a vio…

Regulations of Connecticut State AgenciesSec. 36a-809-13. Validation of debts(a) Not more than five days after the initial communication with a debtor in connection with the collection of any debt, a consumer collection agency shall, unless the following information is contained …

Regulations of Connecticut State AgenciesSec. 36a-809-14. Multiple debtsIf any debtor owes multiple debts and makes any single payment to a consumer collection agency with respect to such debts, the consumer collection agency shall not apply such payment to any debt which is disp…

Regulations of Connecticut State AgenciesSec. 36a-809-15. Furnishing certain deceptive forms(a) No person shall design, compile or furnish any form knowing that such form would be used to create the false belief in a debtor that a person other than the creditor of such debtor is …

Regulations of Connecticut State AgenciesSec. 36a-809-16. Consumer collection agencies desiring to terminate business(a) No consumer collection agency shall terminate its business unless the following conditions have been met: (1) The commissioner has received written notice of t…

Regulations of Connecticut State AgenciesSec. 36a-809-17. Process of collectionFor purposes of subdivision (7) of subsection (a) of Section 36a-805 of the Connecticut General Statutes, unless otherwise provided in a written contract between a consumer collection agency and its cl…

Regulations of Connecticut State AgenciesSec. 36a-809-1—36a-809-5. (Repealed) Repealed July 29, 2008. AUTHORITY: Conn. Gen. Stat. § 36a-809

Regulations of Connecticut State AgenciesSec. 36a-809-6. DefinitionsAs used in Sections 36a-809-6 to 36-809-17, inclusive, of the Regulations of Connecticut State Agencies: (1) \"Commissioner\" means \"commissioner\" as defined in Section 36a-2 of the Connecticut General Statutes…

Regulations of Connecticut State AgenciesSec. 36a-809-7. Books and records(a) Each consumer collection agency shall maintain its debtor and creditor records so as to clearly identify the amounts and dates of all payments received from debtors and all remittances made to creditors…

Regulations of Connecticut State AgenciesSec. 36a-809-8. Record keeping of information regarding collectorsEach consumer collection agency shall maintain a record of each collector employed or retained by the consumer collection agency including such collector's place of abode, t…

Regulations of Connecticut State AgenciesSec. 36a-809-9. Record keeping methods and consumer collection agency communications(a) Method of keeping records. Each consumer collection agency shall maintain a record of all contacts or attempted contacts with the debtor or others rega…

Regulations of Connecticut State AgenciesSec. 36b-31-1. Reserved AUTHORITY: Conn. Gen. Stat. § 36b-31 AUTHORITY: Conn. Gen. Stat. § 36b-31

Regulations of Connecticut State AgenciesSec. 36b-31-10—36b-31-13. Reserved AUTHORITY: Conn. Gen. Stat. § 36b-31

Regulations of Connecticut State AgenciesSec. 36b-31-14a. Record keeping requirements for registered broker-dealers(a) Every registered broker-dealer shall keep and maintain, open to inspection by the commissioner, the books and records required to be kept by the Securities Excha…

Regulations of Connecticut State AgenciesSec. 36b-31-14b. Record keeping requirements for registered investment advisers(a) Every registered investment adviser shall keep and maintain, open to inspection by the commissioner, the books and records required to be kept by the Invest…

Regulations of Connecticut State AgenciesSec. 36b-31-14c. Filing of financial reports by broker-dealers(a) Each registered broker-dealer shall annually file with the commissioner, or, subject to the conditions set forth in subsection (b) of this section, with the National Associa…

Regulations of Connecticut State AgenciesSec. 36b-31-14d. Filing of financial reports by investment advisers(a) Each registered investment adviser shall, within 90 days following the end of its fiscal or calendar year, file with the commissioner a report of its financial conditio…

Regulations of Connecticut State AgenciesSec. 36b-31-14e. Duty to amend information previously filed(a) If the information contained in any application for registration as a broker-dealer, agent, investment adviser or investment adviser agent, or in any amendment thereto, is or b…

Regulations of Connecticut State AgenciesSec. 36b-31-14f. Examinations by commissioner(a) For purposes of this section, (1) \"commissioner\" includes any representative of the commissioner conducting an examination and (2) \"records\" includes, but is not limited to, diaries, log…

Regulations of Connecticut State AgenciesSec. 36b-31-15a. Dishonest or unethical business practices by broker-dealers(a) In implementing section 36b-15 (a) (2) (H) of the general statutes, the following shall be deemed \"dishonest or unethical practices in the securities . . . bu…

Regulations of Connecticut State AgenciesSec. 36b-31-15b. Dishonest or unethical business practices by agents(a) In implementing section 36b-15 (a) (2) (H) of the general statutes, the following shall be deemed \"dishonest or unethical practices in the securities . . . business\"…

Regulations of Connecticut State AgenciesSec. 36b-31-15c. Dishonest or unethical business practices by investment advisers(a) In implementing section 36b-15 (a) (2) (H) of the general statutes, the following shall be deemed \"dishonest or unethical practices in the securities . .…

Regulations of Connecticut State AgenciesSec. 36b-31-15d. Dishonest or unethical business practices by investment adviser agents(a) In implementing section 36b-15 (a) (2) (H) of the general statutes, the following shall be deemed \"dishonest or unethical practices in the securiti…

Regulations of Connecticut State AgenciesSec. 36b-31-15e. Examination requirements for securities personnel(a) For purposes of this section, \"manager\" means (1) any person who directly or indirectly supervises securities sales personnel or (2) any person responsible for the day…

Regulations of Connecticut State AgenciesSec. 36b-31-15f. Summary ordersIf the commissioner issues a summary order pursuant to section 36b-15c of the general statutes, an opportunity for hearing shall be granted only if a written request for a hearing is filed within 14 days foll…

Regulations of Connecticut State AgenciesSec. 36b-31-16. Reserved AUTHORITY: Conn. Gen. Stat. § 36b-31 AUTHORITY: Conn. Gen. Stat. § 36b-31

Regulations of Connecticut State AgenciesSec. 36b-31-17a. Registration of securities by coordination(a) A person seeking to register by coordination a security for which a registration statement has been filed under the Securities Act of 1933 in connection with the same offering …

Regulations of Connecticut State AgenciesSec. 36b-31-17b. Shelf registrationA registration of securities to be offered in series or a registration for delayed or continuous offering and sale of securities for which a single registration statement has been filed under the Securiti…

Regulations of Connecticut State AgenciesSec. 36b-31-17c. Registration by coordination of unit investment trust securities(a) A unit investment trust that satisfies the eligibility requirements of Rule 487, 17 C.F.R. § 230.487 under the Securities Act of 1933, and which seeks to …

Regulations of Connecticut State AgenciesSec. 36b-31-18. Registration of securities by qualification(a) A person seeking to register a security by qualification shall file Forms U-1 and U-2 and the documents and information that sections 36b-18 (b) and 36b-19 (c) of the general s…

Regulations of Connecticut State AgenciesSec. 36b-31-18a. Small corporate offering registration (SCOR)(a) For purposes of this section, \"Small Corporate Offering Registration Form,\" \"SCOR\" and \"Form U-7\" means the Small Corporate Offering Registration Form adopted by the No…

Regulations of Connecticut State AgenciesSec. 36b-31-19a. Provisions applicable to registration generally(a) A person filing a registration statement under sections 36b-17 or 36b-18 of the general statutes shall pay a non-refundable filing fee for each class and/or series of secu…

Regulations of Connecticut State AgenciesSec. 36b-31-19b. Registration of investment company shares(a) A registration statement under sections 36b-17 or 36b-18 of the general statutes shall cover only one class, series or portfolio of investment company shares. (b) A person filin…

Regulations of Connecticut State AgenciesSec. 36b-31-19c. Post-sale registration(a) A person seeking to register a security which has been sold or offered for sale without compliance with section 36b-16 of the general statutes shall file the following documents and provide the fo…

Regulations of Connecticut State AgenciesSec. 36b-31-19d. Registration of offerings eligible to utilize the securities and exchange commission multijurisdictional disclosure system(a) A registration statement filed with the United States Securities and Exchange Commission, design…

Regulations of Connecticut State AgenciesSec. 36b-31-2. AuthoritySections 36b-31-2 to 36b-31-33, inclusive, comprise the regulations adopted by the commissioner pursuant to chapter 672a of the general statutes, \"The Connecticut Uniform Securities Act.\" (Effective August 22, 199…

Regulations of Connecticut State AgenciesSec. 36b-31-20. Reserved AUTHORITY: Conn. Gen. Stat. § 36b-31 AUTHORITY: Conn. Gen. Stat. § 36b-31

Regulations of Connecticut State AgenciesSec. 36b-31-21a-10—36b-31-21a-21. Reserved AUTHORITY: Conn. Gen. Stat. § 36b-31

Regulations of Connecticut State AgenciesSec. 36b-31-21a-1—36b-31-21a-8. Reserved AUTHORITY: Conn. Gen. Stat. § 36b-31

Regulations of Connecticut State AgenciesSec. 36b-31-21a-9. Exemption for securities issued by nonprofit organizationsFor purposes of section 36b-21 (a) (9) of the general statutes, the issuance of a determination letter by the Internal Revenue Service confirming the status of a …