Section 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 designate the date and time when the federal registration of securities of a series of such unit investment trust, other than the first series, shall become effective under Rule 487, may register such securities under section 36b-17 of the general statutes in accordance with this section.(b) Pursuant to subsections (d) and (e) of section 36b-19 of the general statutes, the following may be omitted from the registration statement filed under section 36b-17(b) of the general statutes if the registrant represents to the commissioner in writing that the omitted information does not differ in any material respect from that contained in a registration for a prior series that became effective under section 36b-17 of the general statutes, otherwise than pursuant to this section, within the previous two years and for which federal effectiveness was determined by the United States Securities and Exchange Commission: (1) The copy of the latest form of prospectus filed under the Securities Act of 1933 that otherwise would have been required under section 36b-17(b) of the general statutes and section 36b-31-19 b (b) of the regulations; (2) the organizational instruments required by section 36b-17(b) (2) of the general statutes and section 36b-31-19 b (b) of the regulations; (3) the copy of any agreements with or among underwriters required by section 36b-17(b) (2) of the general statutes and section 36b-31-19 b (b) of the regulations; (4) the copy of any indenture or other instrument governing the issuance of the securitito be registered as required by section 36b-17(b) (2) of the general statutes; (5) the specimen or copy of the security required by section 36b-17(b) (2) of the general statutes; (6) if applicable, the advisory, custodian and business management agreements required by section 36b-31-19 b (b) of the regulations; (7) the form of application to purchase securities required by section 36b-31-19 b (b) of the regulations; (8) the sales literature required by section 36b-22 of the general statutes and section 36b-31-22 of the regulations; (9) an undertaking to forward all amendments to the federal prospectus as required by section 36b-17(b) (4) of the general statutes; and (10) a copy of any pre-effective amendment to the federal registration statement required by section 36b-31-19 b of the regulations.(c) Prior to the date of federal effectiveness, the unit investment trust shall submit the following in connection with the registration by coordination of its securities: (1) A separate nonrefundable filing fee for each series as required by section 36b-19(b) of the general statutes; (2) a separate registration (Form U-1) for each series; (3) the amount of securities to be offered as required by section 36b-19(c) (1) of the general statutes; (4) the states in which a registration statement or similar document in connection with the offering has been or is to be filed as required by section 36b-19(c) (2) of the general statutes; (5) the name of any broker-dealer or agent registered to do business under the Act who may offer the securities in this state as required by section 36b-19(c) (3) of the general statutes; (6) information on any adverse order, judgment, decree or permanent or temporary injunction entered in connection with (A) the offering, (B) other securities of the issuer or (C) the person seeking the registration, by the regulatory authorities in each state, by any self-regulatory organization or by any court or the United States Securities and Exchange Commission, as required by section 36b-19(c) (4) of the general statutes; (7) an undertaking to forward all post-effective amendments to the federal prospectus, as required by section 36b-17(b) (4) of the general statutes; (8) any request by the issuer or person seeking the registration to withdraw an application pending before a state or federal agency to register the same securities the person seeks to register under the Act; (9) final notice from any state or federal administrative agency that the securities or any information or document filed with that agency relating to such security fails to meet the agency's requirements; (10) if required by section 36b-33(g) of the general statutes, a Consent to Service of Process (Form U-2); (11) written notice of the date and time of federal effectiveness designated under Rule 487 and the one or more previous series of the trust for which the United States Securities and Exchange Commission and the commissioner have determined the effectiveness date; and (12) a copy of the written opinion of counsel, if any, provided pursuant to subsection (b) (6) of Rule 487, stating that the federal registration statement or pre-effective amendment does not contain disclosures that would render the registration statement ineligible to become effective in accordance with Rule 487.(d) A registration of unit investment trust securities shall become effective in accordance with the designation of effectiveness made pursuant to Rule 487 if the conditions precedent to effectiveness under section 36b-17(c) of the general statutes are satisfied, except that: (1) the condition in section 36b-17(c) (2) of the general statutes that the registration statement be on file with the commissioner for at least 15 days shall be waived and (2) the condition in section 36b-17(c) (3) of the general statutes that a written or telegraphic statement of the maximum and minimum proposed offering prices and the maximum underwriting discounts and commissions be on file with the commissioner for two full business days shall be waived.(e) Nothing in this section shall relieve a registrant of unit investment trust securities of its obligation to (1) provide notice of the content of the price amendment, a confirmation of federal effectiveness and the post-effective amendment required by section 36b-17(c) of the general statutes within the time prescribed by that section and (2) make any other post-effective filings required by the Act or these regulations.(f) Nothing in this section shall relieve a registrant of unit investment trust securities of its obligation under section 36b-19(j) of the general statutes to file a correcting amendment with the commissioner should the information or documents contained in the registration statement become inaccurate or incomplete in any material respect.(g) Should the United States Securities and Exchange Commission suspend the ability of the unit investment trust to designate the date and time of federal effectiveness of a series of such trust, the registrant shall notify the commissioner in writing of such fact within one business day after the registrant receives notice thereof, and if a request for a hearing is made, the registrant shall promptly notify the commissioner of the result of any hearing held by the United States Securities and Exchange Commission.Conn. Agencies Regs. § 36b-31-17c
Effective August 22, 1994; Transferred July 3, 1995