Section 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 securities a registration statement covers. The registration statement for a security, other than that for an investment company, may cover one or more classes and/or series of the issuer's securities. In computing the filing fee, a registration statement covering one or more types of securities of the same issuer which are offered for sale as a unit is deemed to cover a single class.(b) A person filing a registration statement under sections 36b-17 or 36b-18 of the general statutes shall timely file with the commissioner all amendments to the prospectus, other than amendments which merely delay the effective date of the registration statement, clearly marked to indicate the specific amendments. Where the offering has been filed with the United States Securities and Exchange Commission, such amendments shall be filed with the commissioner within two business days after they have been filed with the United States Securities and Exchange Commission.(c) A person seeking to register securities under the Act shall promptly notify the commissioner of the following information or events and, if the registration statement is filed under section 36b-17 of the general statutes, such notice shall be given prior to the effective date of the federal registration statement: (1) A change in any of the information or documents filed with the commissioner; (2) any adverse order, judgment, decree or permanent or temporary injunction entered by a state or federal agency or court concerning (A) the offering or (B) other securities of the issuer or of the person seeking the registration; (3) a request by the issuer or the person seeking the registration to withdraw an application pending before a state or federal agency to register the same security the applicant seeks to register under the Act; (4) final notice from any state or federal administrative agency that the security or any information or document filed with the agency relating to the security fails to meet the agency's requirements; and (5) such additional information and documents concerning the security or the issuer as the commissioner may request.(d) The commissioner may accept the registration of a business opportunity under chapter 672c of the general statutes in lieu of a registration under sections 36b-17 or 36b-18 of the general statutes if the commissioner determines that accepting such registration will adequately protect the public and the security also constitutes a business opportunity as defined in section 36b-61(6) of the general statutes.(e) A person filing a registration statement under sections 36b-17 or 36b-18 of the general statutes shall promptly notify the commissioner in writing of the completion date of the initial distribution of a security registered under the Act and sections 36b-31-2 to 36b-31-33, inclusive, of the regulations, the amount of securities sold in Connecticut and the availability of an exemption for any nonissuer distribution; provided, notice need not be given by any registrant who has paid the maximum filing fee required by section 36b-19(b) of the general statutes or for a distribution of investment company shares.(f) As long as the registration statement remains effective, the person who filed a registration statement for a security registered under the Act or under any predecessor statute shall furnish a balance sheet as of the close of the issuer's most recent fiscal year and an income statement for such fiscal year.(g) If the information or documents contained in any registration statement is or becomes inaccurate or incomplete in any material respect, the person who filed the registration statement shall promptly file a correcting amendment with the commissioner.Conn. Agencies Regs. § 36b-31-19a
Effective August 22, 1994; Transferred July 3, 1995