Out Of State Regulations:
Conn. Gen. Stat. §36b-6(e): "Any investment adviser that (1) is registered or required to be registered under Section 203 of the Investment Advisers Act of 1940; (2) is excepted from the definition of investment adviser under Section 202(a)(11) of the Investment Advisers Act of 1940; or (3) has no place of business in this state and, during the preceding twelve months, has had no more than five clients who are residents of this state."
In State Regulations:
No exemption, based on examiner's reference to definition of investment adviser, Conn. Gen. Stat. § 36b-3(11), 36b-6(c)(1), exemptions at Conn. Gen. Stat. § 36b-6(e).
Comments on this regulation:
Exemption based on an exemption to the registration requirements. Still may be subject to other rules applying to investment advisers. See Conn. Gen. Stat. § 36b-3(11) for definition of investment adviser. See § 36b-6(c)(1) for exemptions.
State Regulations Website:
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Conn. Gen. Stat. §36b-6(e): "Any investment adviser that (1) is registered or required to be registered under Section 203 of the Investment Advisers Act of 1940; (2) is excepted from the definition of investment adviser under Section 202(a)(11) of the Investment Advisers Act of 1940; or (3) has no place of business in this state and, during the preceding twelve months, has had no more than five clients who are residents of this state."
In State Regulations:
No exemption, based on examiner's reference to definition of investment adviser, Conn. Gen. Stat. § 36b-3(11), 36b-6(c)(1), exemptions at Conn. Gen. Stat. § 36b-6(e).
Comments on this regulation:
Exemption based on an exemption to the registration requirements. Still may be subject to other rules applying to investment advisers. See Conn. Gen. Stat. § 36b-3(11) for definition of investment adviser. See § 36b-6(c)(1) for exemptions.
State Regulations Website:
Click to view
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