Section 36b-31-7e - Requirements for use of trade names by registrants(a) As used in this section, (1) "advertisement" means material published, or designed for use in, a newspaper, magazine or other periodical, radio, television, telephone or tape recording, videotape display, sign or billboard, motion picture, telephone directory, telecommunication service, or other public medium and (2) "sales literature" means any written or electronic communication distributed or made generally available to customers or the public, which communication does not meet the foregoing definition of "advertisement." "Sales literature" includes, but is not limited to, circulars, research reports, market letters, performance reports or summaries, form letters, seminar texts, and reprints or excerpts of any other advertisement, sales literature or published article.(b) Every person described in subsection (c) of this section shall file with the commissioner a supplement (Form DBA-1) to the initial or renewal application for registration as a broker-dealer, agent, investment adviser or investment adviser agent. Such supplement shall be filed with the initial application for registration or prior to any activity which renders a registrant subject to this section.(c) The filing requirements in this section apply to any registered broker-dealer, agent, investment adviser or investment adviser agent engaging in any of the following activities and any applicant for registration as a broker-dealer, agent, investment adviser or investment adviser agent planning to engage in either of the following activities upon registration: (1) Promoting a securities or investment advisory business by means of any advertisement or sales literature wherein the registrant is identified by any name different from that which appears as the registrant's name on the application filed with the commissioner regardless of whether such filed name also appears on the advertisement or sales literature; or(2) Providing any written material to a customer or client, including but not limited to a business card, letterhead, contract, account statement, confirmation or receipt, wherein the registrant is identified by a name different from that which appears as the registrant's name on the application filed with the commissioner regardless of whether such filed name also appears on the written material.(d) Any supplement filed pursuant to subsection (b) of this section shall remain up-to-date and any material changes to the information included thereon shall immediately be provided in writing to the commissioner.Conn. Agencies Regs. § 36b-31-7e
Effective August 22, 1994; Transferred July 3, 1995