Section 36b-31-22 - Filing of sales literature with the commissioner(a) An issuer of securities shall file with the commissioner any prospectus, pamphlet, circular, form letter, advertisement or other sales literature or advertising communication addressed or intended for distribution to prospective investors unless the security or transaction, other than a transaction exempted by section 36b-21(b) (12) of the general statutes, is exempted by section 36b-21 of the general statutes and the terms of the exemption do not require any such filing.(b) Absent a request from the commissioner, pamphlets, circulars, form letters, advertisements or other sales literature addressed or intended for distribution to prospective investors in connection with a public offering of securities issued by an open-end company, unit investment trust or face amount certificate company registered under the Investment Company Act of 1940, 15 U.S.C. § 80a-1 et seq., shall be exempt from the filing requirements of subsection (a) of this section if such materials are filed with the United States Securities and Exchange Commission pursuant to Section 24 (b) of the Investment Company Act of 1940 or with a national securities association registered under Section 15A of the Securities Exchange Act of 1934 in accordance with Securities and Exchange Commission Rule 24b-3, 17 C.F.R. § 240.24b-3; provided, nothing in this subsection shall exempt from the filing requirements of subsection (a) any prospectus, preliminary prospectus, prospectus supplement, statement of additional information or annual report addressed or intended for distribution to investors or prospective investors of investment company securities.(c) Unless an investment adviser is registered under the Investment Advisers Act of 1940, any prospectus, pamphlet, circular, form letter, advertisement or other sales literature or advertising communication addressed or intended for distribution to clients or prospective clients shall be filed with the commissioner prior to distribution.Conn. Agencies Regs. § 36b-31-22