Conn. Agencies Regs. § 36b-31-21b-3
Current through October 16, 2024
For purposes of section 36b-21(b) (3) of the general statutes, unless the confirmation is conspicuously marked "unsolicited order," the customer shall acknowledge in writing that the sale was unsolicited. A registered broker-dealer shall not be deemed to have solicited an order or offer to buy a security purchased by or through that broker-dealer merely because bid and offer quotations for the security were published in an interdealer quotation service or in the financial columns of newspapers.
Conn. Agencies Regs. § 36b-31-21b-3