Section 36b-31-6d - Temporary transfer procedures(a) The commissioner may issue a temporary agent registration and terminate such a registration in accordance with temporary agent transfer procedures under the Central Registration Depository operated by the National Association of Securities Dealers, Inc. and its subsidiaries, as developed under the North American Securities Administrators Association, Inc. The registration of an agent transferring from one registered broker-dealer to another is not effective unless the requirements under the temporary agent transfer procedures are met by the agent, the broker-dealers involved in the transfer, and the Central Registration Depository.(b) The commissioner may issue a temporary investment adviser agent registration and terminate such a registration in accordance with temporary investment adviser agent procedures developed in cooperation with the North American Securities Administrators Association, Inc. The registration of an investment adviser agent transferring from one registered investment adviser to another is not effective unless the requirements under the temporary investment adviser agent procedures are met by the investment adviser agent and the investment advisers involved in the transfer.Conn. Agencies Regs. § 36b-31-6d
Effective August 22, 1994; Transferred July 3, 1995