Exempt transaction filling requirements, federal crowdfunding, investment advisors' custody, postregistration recordkeeping, effectiveness of orders, and professional services for investigations.
Relating to the creation of a intrastate investment market for purposes of trading securities issued under the intrastate crowdfunding exemption from federal securities laws.
An Act Applying The Provisions Of The Connecticut Uniform Securities Act To The Requirement That Broker-dealers Comply With The Currency And Foreign Transactions Reporting Act.