Section 36b-31-21b-11 - Exemption for transactions pursuant to an offer to existing security holders of the issuer(a) The notice required by section 36b-21(b) (11) (B) of the general statutes shall include the offeror's name; the issuer's name and address, and the type and amount of securities offered; the number of persons in Connecticut to whom the offeror expects to direct the offer; the offer's terms; the person or persons to whom the commission or other remuneration shall be paid or given; information from which the commissioner can determine that the commission or other remuneration that shall be paid is consistent with the policy in section 36b-20(a) (2) (F) of the general statutes; a copy of any prospectus, pamphlet, circular or other sale literature or advertising communication regarding the offering and intended for distribution to persons in Connecticut; and additional information or documents which the commissioner may request within 10 business days after the notice is filed.(b) For purposes of complying with the notice requirement in section 36b-21(b) (11) (B) of the general statutes, the commissioner may accept from the issuer a copy of Form F-7 as designated by and filed with the United States Securities and Exchange Commission in lieu of the notice required by subsection (a) of this section.Conn. Agencies Regs. § 36b-31-21b-11
Effective August 22, 1994; Transferred July 3, 1995