Sec. 36b-8. (Formerly Sec. 36-476). Investigation of applicant for registration. Register.
Sec. 36b-8. (Formerly Sec. 36-476). Investigation of applicant for registration.
Register. On receipt of the application for registration as a branch office, broker-dealer,
agent, investment adviser or investment adviser agent, the commissioner may make
such investigation of the applicant and the applicant's affairs as the commissioner deems
necessary or advisable. Upon completion of such investigation, the commissioner shall,
subject to the authority of the commissioner to deny, revoke or suspend such registration,
enter the name of such person on a register of branch offices, broker-dealers, agents,
investment advisers or investment adviser agents, as the case may be, to be kept in the
office of the commissioner, properly indexed and open to the public. The information
to be entered on the register shall be the name, address and date of registration or renewal
and, in the case of broker-dealers or investment advisers, whether such registrant is an
individual, partnership, corporation or other form of association. When the registration
of any such person is suspended or revoked, the commissioner shall so note on the
appropriate register.
(P.A. 77-482, S. 7; P.A. 82-149, S. 5, 16; P.A. 91-145, S. 3; P.A. 04-45, S. 2.)
History: P.A. 82-149 deleted the prohibition against commissioner's issuing certificates or written evidence to persons
registered under the chapter; P.A. 91-145 added provisions re registration as a branch office and suspension of registration;
Sec. 36-476 transferred to Sec. 36b-8 in 1995; P.A. 04-45 made technical changes.