Connecticut § 36b-22a Investment advisers and investment adviser agents to provide schedule of charges, fees and penalties to clients.

Connecticut Statutes

§ 36b-22a — Investment advisers and investment adviser agents to provide schedule of charges, fees and penalties to clients.

Connecticut·Title 36b Connecticut Securities Law and Business Opportunity Investment Act·Ch. 672a Uniform Securities Act

Each investment adviser required to register under section 36b-6 or investment adviser agent, as defined in section 36b-3, except an investment adviser representative, as defined in Securities and Exchange Commission Rule 203A-3, 17 CFR 275.203A-3, shall provide to each customer or client, upon request, a schedule of any charges, fees or penalties imposed on a customer or client for the acquisition, transfer or holding of securities. Such schedule shall fully disclose any variance, advantage or economy of volume purchases to be realized by the customer or client.

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Each investment adviser required to register under section 36b-6 or investment adviser agent, as defined in section 36b-3, except an investment adviser representative, as defined in Securities and Exchange Commission Rule 203A-3, 17 CFR 275.203A-3, shall provide to each customer or client, upon request, a schedule of any charges, fees or penalties imposed on a customer or client for the acquisition, transfer or holding of securities. Such schedule shall fully disclose any variance, advantage or economy of volume purchases to be realized by the customer or client.

Connecticut § 36b-22a (Investment advisers and investment adviser agents to provide schedule of charges, fees and penalties to clients.) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.