Conn. Agencies Regs. § 36b-31-19b

Current through October 16, 2024

Section 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 filing a registration statement for investment company shares under section 36b-17 or 36b-18 of the general statutes shall file the following documents, in addition to those required by sections 36b-17 and 36b-18 of the general statutes:

(1) The most recent post-effective amendment to the federal registration statement including the latest form of prospectus filed under the Securities Act of 1933;

(2) one copy of the latest form prospectus filed under the Securities Act of 1933;

(3) the issuer's articles of incorporation, declaration of trust or comparable instrument;

(4) the issuer's by-laws;

(5) agreement among underwriters;

(6) advisory agreement;

(7) custodian agreement;

(8) form of application to purchase securities;

(9) business management agreement; and

(10) any other documents the commissioner requests.

(c) A person filing a renewal registration for investment company shares under section 36b-19(k) of the general statutes shall file an application to register securities (Form U-1) accompanied by the required filing fee and any documents called for by Form U-1, except that all relevant exhibits filed in connection with a prior registration may be incorporated by reference in the renewal registration application.

(d) As long as a registration statement covering investment company shares is effective under the Act, and for as long thereafter as the registration statement remains effective, (1) the person filing the registration statement or the issuer shall file with the commissioner a copy of the issuer's annual report within 10 days following the general mailing of the annual report to shareholders and (2) upon request by the commissioner, and within such period as the commissioner shall require, the person filing the registration statement shall file a report of the aggregate sales price of each class of the issuer's securities sold in Connecticut during the issuer's fiscal year.

(e) Pursuant to the undertaking in Form U-1, the person filing the registration statement shall file with the commissioner a copy of each amendment to the federal registration statement.

Conn. Agencies Regs. § 36b-31-19b

Effective August 22, 1994; Transferred July 3, 1995