Sec. 36b-13. (Formerly Sec. 36-481). Registration renewal. Requirements.
Sec. 36b-13. (Formerly Sec. 36-481). Registration renewal. Requirements. (a)
Each person registered as a broker-dealer or investment adviser may renew such registration for a one-year period not later than December thirty-first of each calendar year by
making application in such manner as prescribed by the commissioner. The fee for
renewal of registration for each registered broker-dealer or investment adviser shall be
one hundred fifty dollars per renewal application, nonrefundable, payable at the time
of renewal, and shall be submitted, together with the renewal application, to the commissioner or any person designated in writing by the commissioner to collect such fee on
his behalf.
(b) Each person registered as an agent or investment adviser agent may renew such
registration for a one-year period by December thirty-first of each calendar year by
making application in such manner as prescribed by the commissioner. The fee for
renewal of registration for each person registered as an agent or investment adviser
agent shall be fifty dollars, nonrefundable, payable at the time of renewal, and shall be
submitted, together with the renewal application, to the commissioner or any person
designated in writing by the commissioner to collect such fee on his behalf.
(c) Each registrant or person requesting renewal of a registration shall pay the actual
cost, as determined by the commissioner, of any reasonable investigation or examination
made of such person by or on behalf of the commissioner.
(P.A. 77-482, S. 12; P.A. 78-34, S. 5, 17; P.A. 83-368, S. 5, 11; P.A. 85-169, S. 4, 5, 11; P.A. 92-89, S. 9, 20; P.A. 97-220, S. 6, 15.)
History: P.A. 78-34 reduced renewal fee in Subsec. (a) from $70 to $30; P.A. 83-368 required annual renewals for
broker-dealers or investment advisors and for agents or investment advisor agents and imposed new renewal fees, deleting
provisions re biennial renewal and fees therefor; P.A. 85-169 amended Subsecs. (a) and (b) to clarify that the renewal fee
is nonrefundable; P.A. 92-89 increased the renewal fee in Subsec. (b) from $30 to $40; Sec. 36-481 transferred to Sec.
36b-13 in 1995; P.A. 97-220 amended Subsecs. (a) and (b) to delete provisions re application form and renewal fees for
registrations that expire on June 30, 1983, and increased the renewal fee in Subsec. (b) from $40 to $50, effective July 1, 1997.