Section 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 statutes require. A broker-dealer registered under the Act may omit Form U-2.(b) A person seeking to register a security for which a Form 1-A offering statement has been filed pursuant to Securities and Exchange Commission Regulation A ( 17 C.F.R. §§ 230.251 through 230.263 ) under the Securities Act of 1933 shall also file the Form 1-A offering statement required by Rules 251 and 252 ( 17 C.F.R. §§ 230.251 and 230.252 ) and a cross-reference sheet indicating the location of the information required by section 36b-18(b) of the general statutes.(c) As a condition to registration by qualification, a prospectus containing the information required by subdivisions (1) through (11), inclusive, and (16) of section 36b-18(b) of the general statutes shall be sent or given to each person to whom an offer is made before or concurrently with (1) the first written offer made to such person, other than by means of a public advertisement, by or for the account of the issuer or any other person on whose behalf the offering is being made, or by any underwriter or broker-dealer who is offering part of an unsold allotment or subscription taken by such underwriter or broker-dealer as a participant in the distribution; (2) the confirmation of any sale made by or for the account of any such person; (3) payment pursuant to any such sale; or (4) delivery of the security pursuant to any such sale, whichever first occurs.Conn. Agencies Regs. § 36b-31-18
Effective August 22, 1994; Transferred July 3, 1995