Section 36b-31-6b - Investment adviser and investment adviser agent registration(a) No corporation or partnership shall be registered as an investment adviser without the registration of at least one investment adviser agent.(b) An investment adviser shall file written notice with the commissioner within five days whenever it hires an investment adviser agent transferred from another investment adviser, except that such notice shall not be required if the transfer is made in accordance with the temporary transfer procedures under section 36b-31-6 d of the regulations.(c) An investment adviser shall file written notice with the commissioner no later than 30 days after an investment adviser agent leaves its employ. When an investment adviser agent leaves its employ, the notice may be given on Form U-5.(d) A transfer of investment adviser agent registration may be effected only after the commissioner receives written notice of the change from the investment adviser agent, the investment adviser agent's former employer (Form U-5) and the investment adviser agent's new employer. The investment adviser agent shall not be required to give such notice if the transfer is made in accordance with the temporary transfer procedures under section 36b-31-6 d of the regulations, provided the investment adviser agent's prior employment was terminated within the preceding seven days and not for cause.Conn. Agencies Regs. § 36b-31-6b
Effective August 22, 1994; Transferred July 3, 1995