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

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

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

State Codes and Statutes

Statutes > Connecticut > Title36b > Chap672a > Sec36b-22a

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

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

State Codes and Statutes

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State Codes and Statutes

Statutes > Connecticut > Title36b > Chap672a > Sec36b-22a

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

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