Home/Connecticut/Statutes/Title 36b: Connecticut Securities Law and Business Opportunity Investment Act/Ch. 672a: Uniform Securities Act/§ 36b-22a
Connecticut Statutes

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

Connecticut § 36b-22a
JurisdictionConnecticut
Title 36bConnecticut Securities Law and Business Opportunity Investment Act
Ch. 672aUniform Securities Act

This text of Connecticut § 36b-22a (Investment advisers and investment adviser agents to provide schedule of charges, fees and penalties to clients.) is published on Counsel Stack Legal Research, covering Connecticut primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Conn. Gen. Stat. § 36b-22a (2026).

Text

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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Legislative History

(P.A. 05-111, S. 1.)

Nearby Sections

15
§ 36b-1
General statement.
§ 36b-10
(Formerly Sec. 36-478). Application for registration to be under oath.
§ 36b-11
(Formerly Sec. 36-479). Photograph to accompany each application for registration.
§ 36b-12
(Formerly Sec. 36-480). Application and registration fees.
§ 36b-13
(Formerly Sec. 36-481). Registration renewal. Requirements.
§ 36b-14
(Formerly Sec. 36-482). Records and financial reports required. Definitions. Disclosure of financial exploitation or suspected exploitation. Trusted contact person. Hold on disbursement or transaction. Immunity.
§ 36b-15
(Formerly Sec. 36-484). Denial, suspension or revocation of registration by commissioner. Withdrawal from registration or of application.
§ 36b-16
(Formerly Sec. 36-485). Registration of security prior to offer or sale required. Exceptions.
§ 36b-17
(Formerly Sec. 36-486). Registration of security by coordination. Registration statement. Contents. Effective date.
§ 36b-18
(Formerly Sec. 36-487). Registration of security by qualification. Statement contents. Effective date.
§ 36b-19
(Formerly Sec. 36-488). Registration statement filed by issuer, person on whose behalf offering is to be made or registered broker-dealer. Fee. Contents. Effective date. Regulation by commissioner.
§ 36b-2
(Formerly Sec. 36-470). Short title: Connecticut Uniform Securities Act.
§ 36b-20
(Formerly Sec. 36-489). Stop order. When issued by commissioner. Registration statement deemed abandoned, when.
§ 36b-21
(Formerly Sec. 36-490). Exemption of certain securities and transactions. Denial or revocation of exemption.
§ 36b-22
(Formerly Sec. 36-491). Filing of material intended for distribution to prospective investors.
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Bluebook (online)
Connecticut § 36b-22a, Counsel Stack Legal Research, https://law.counselstack.com/statute/ct/36b-22a.