reglab/statecodes huggingface dataset:
Connecticut Administrative Code › Title 36b - Connecticut Securities Law and Business Opportunity Investment Act › 31 - Connecticut Uniform Securities Act › Transferred from section 36-500, July 3, 1995 › Section 36b-31-21b-9a - Exemption for transactions pursuant to Section 4 (2) of the Securities Act of 1933

Current through July 10, 2024
(a) For purposes of section 36b-21(b) (9) (A) of the general statutes, a transaction not involving a public offering within the meaning of Section 4 (2) of the Securities Act of 1933 shall be exempt from section 36b-16 of the general statutes if the requirements of this section are satisfied, provided, transactions effected in reliance on the federal exemption in Rules 501, 502, 503 and 506 of Regulation D, 17 C.F.R. §§
										230.501, 230.502, 230.503 and 230.506 under the Securities Act of 1933, shall be governed by section 36b-31-21 b-9b of the regulations.
(b) Prior to the first sale of securities in this state, the issuer shall file with the commissioner a notice manually signed by a person duly authorized by the issuer. The notice shall include (1) the issuer's name and address, the names of the issuer's officers, directors, general partners or persons occupying a similar status, a brief description of the securities to be sold, the selling price of the securities, the amount of securities to be sold, the name and address of the person who will offer or sell the securities in this state, whether the person offering or selling the securities in Connecticut shall receive any direct or indirect remuneration related to offers or sales of such securities and whether such person is engaged in the business of effecting securities transactions; (2) an undertaking by the issuer to furnish the commissioner, upon the commissioner's written request, with any offering materials used in connection with the sale of the securities in this state; (3) a Uniform Consent to Service of Process (Form U-2) executed pursuant to section 36b-33(g) of the general statutes; and (4) the filing fee prescribed by section 36b-21(b) (9) of the general statutes.
(c) Failure to timely file the notice required by this section shall not, in and of itself, preclude reliance on the exemption afforded by section 36b-21(b) (9) of the general statutes. If the commissioner finds that such notice has not been timely filed with respect to more than one offering, he may issue an order restricting the right to use exemptions under this section and section 36b-31-21 b-9b of the regulations in the future. Such order may be directed to any person subject to the prohibition in section 36b-16 of the general statutes.
(d) Until such time as the offering has been completed, the issuer shall promptly notify the commissioner in writing of any material changes in the information submitted pursuant to this section. The issuer shall also provide to the commissioner such additional information concerning the status or nature of the offering as the commissioner may request, either prior to, or following, completion of the offering.
Connecticut Administrative Code › Title 36b - Connecticut Securities Law and Business Opportunity Investment Act › 31 - Connecticut Uniform Securities Act › Transferred from section 36-500, July 3, 1995 › Section 36b-31-21b-11 - Exemption for transactions pursuant to an offer to existing security holders of the issuer

Current through July 10, 2024
(a) The notice required by section 36b-21(b) (11) (B) of the general statutes shall include the offeror's name; the issuer's name and address, and the type and amount of securities offered; the number of persons in Connecticut to whom the offeror expects to direct the offer; the offer's terms; the person or persons to whom the commission or other remuneration shall be paid or given; information from which the commissioner can determine that the commission or other remuneration that shall be paid is consistent with the policy in section 36b-20(a) (2) (F) of the general statutes; a copy of any prospectus, pamphlet, circular or other sale literature or advertising communication regarding the offering and intended for distribution to persons in Connecticut; and additional information or documents which the commissioner may request within 10 business days after the notice is filed.
(b) For purposes of complying with the notice requirement in section 36b-21(b) (11) (B) of the general statutes, the commissioner may accept from the issuer a copy of Form F-7 as designated by and filed with the United States Securities and Exchange Commission in lieu of the notice required by subsection (a) of this section.
Connecticut Administrative Code › Title 36b - Connecticut Securities Law and Business Opportunity Investment Act › 31 - Connecticut Uniform Securities Act › Transferred from section 36-500, July 3, 1995 › Section 36b-31-21b-13a - Exemption for transactions pursuant to Sections 4 (1) or 4 (4) of the securities act of 1933

Current through July 10, 2024
In implementing section 36b-21(b) (13) of the general statutes, a "transaction exempt under Section 4 (1), Section 4 (4) . . . of the Federal Securities Act of 1933, as amended, and the rules and regulations thereunder" shall include, but shall not be limited to, a transaction made in compliance with Rule 144 under the Securities Act of 1933.
Connecticut Administrative Code › Title 36b - Connecticut Securities Law and Business Opportunity Investment Act › 31 - Connecticut Uniform Securities Act › Transferred from section 36-500, July 3, 1995 › Section 36b-31-21b-13b - Exemption for transactions pursuant to section 4 (6) of the securities act of 1933

Current through July 10, 2024
For purposes of section 36b-21(b) (13) of the general statutes, as amended, issuers relying on the exemption in Section 4 (6) of the Securities Act of 1933 shall, prior to the first sale of securities in this state, file with the commissioner (a) a notice on Form D, 17 C.F.R. §
										239.500 under the Securities Act of 1933, manually signed by a person duly authorized by the issuer which includes an undertaking by the issuer to furnish state securities administrators, upon their written request, with information furnished by the issuer to offerees; (b) a Uniform Consent to Service of Process (Form U-2) executed pursuant to section 36b-33(g) of the general statutes; and (c) the filing fee prescribed under section 36b-21(b) (13) of the general statutes. The issuer shall also provide the commissioner with the name and address of the person who will offer or sell the securities in this state, whether the person offering or selling the securities in Connecticut shall receive any direct or indirect remuneration related to offers or sales of such securities and whether such person is engaged in the business of effecting securities transactions.
Connecticut Administrative Code › Title 36b - Connecticut Securities Law and Business Opportunity Investment Act › 31 - Connecticut Uniform Securities Act › Transferred from section 36-500, July 3, 1995 › Section 36b-31-21b-14 - Exemption for transactions not involving more than 10 purchasers

Current through July 10, 2024
In implementing section 36b-21(b) (14) (B) of the general statutes, "the total number of purchasers of all securities of the issuer" shall be determined as of the date of the transaction effected in reliance on the exemption in section 36b-21(b) (14) of the general statutes and shall include (a) persons who acquired their securities prior to the date of such transaction and who remain holders of such securities at the time of the transaction; (b) purchasers not located in Connecticut; and (c) purchasers of all classes of the issuer's securities, provided, where a person holds or is acquiring securities of more than one class, that person shall be considered a single purchaser in implementing section 36-490(b) (14) (B) of the general statutes.
Connecticut Administrative Code › Title 36b - Connecticut Securities Law and Business Opportunity Investment Act › 31 - Connecticut Uniform Securities Act › Transferred from section 36-500, July 3, 1995 › Section 36b-31-21c - Summary denial or revocation of exemption

Current through July 10, 2024
If a summary order is issued, an opportunity for a hearing under section 36b-21(c) of the general statutes shall be granted only if a written request for such hearing is filed within 14 days following the respondent's receipt of the order. The hearing shall be held in accordance with chapter 54 of the general statutes.
Connecticut Administrative Code › Title 36b - Connecticut Securities Law and Business Opportunity Investment Act › 31 - Connecticut Uniform Securities Act › Transferred from section 36-500, July 3, 1995 › Section 36b-31-22 - Filing of sales literature with the commissioner

Current through July 10, 2024
(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.
Connecticut Administrative Code › Title 36b - Connecticut Securities Law and Business Opportunity Investment Act › 31 - Connecticut Uniform Securities Act › Transferred from section 36-500, July 3, 1995 › Section 36b-31-31a - Forms

Current through July 10, 2024
(a) The following forms, as amended from time to time, are prescribed for use under the Act and sections 36b-31-2 to 36b-31-3, inclusive, of the regulations:
(1) Uniform Application to Register Securities (Form U-1 or CT-3) (used for registration by coordination and registration by qualification);
(2) Uniform Consent to Service of Process (Form U-2 or CT-4) (used with registration of securities);
(3) Uniform Form of Corporate Resolution (Form U-2A) (used with Form U-2 or CT-4);
(4) Small Corporate Offering Registration Form or SCOR (Form U-7) (used for registering by qualification certain offerings exempt from federal registration under Rule 504 of Regulation D);
(5) Uniform Application for Registration as a Broker-Dealer or to Amend such an Application (Form BD);
(6) Uniform Application for Securities and Commodities Industry Representative and/or Agent (Form U-4) (used for agent of broker-dealer, agent of issuer and investment adviser agent registration);
(7) Uniform Notice of Withdrawal from Registration as a Broker-dealer (Form BDW);
(8) Uniform Termination Notice for Securities Industry Representative and/or Agent (Form U-5) (used for termination of agent and investment adviser agent registration);
(9) Uniform Application for Registration as Investment Adviser or to Amend such an Application (Form ADV);
(10) Uniform Notice of Withdrawal from Registration as an Investment Adviser (Form ADV-W);
(11) Form D (used for certain offerings made pursuant to sections 36b-21(b) (9) and 36b-21(b) (13) of the general statutes);
(12) Form BR-1 (used for broker-dealer and investment adviser branch office registration);
(13) Form BR-2 (used for termination of broker-dealer and investment adviser branch office registration); and
(14) Form DBA-1 (used for reporting trade names of registrants).
Connecticut Administrative Code › Title 36b - Connecticut Securities Law and Business Opportunity Investment Act › 31 - Connecticut Uniform Securities Act › Transferred from section 36-500, July 3, 1995 › Section 36b-31-31b - Filing of documents; filing fees

Current through July 10, 2024
(a) All applications and other documents received and filed with the commissioner become a part of the agency's records and shall not be returned to the applicant or correspondent.
(b) All forms and documents filed with the commissioner shall be printed, lithographed, mimeographed, typewritten, or prepared by a photocopying process which, in the opinion of the commissioner, produces copies suitable for a permanent record and shall be clear, easily readable and suitable for repeated photocopying.
(c) Exhibits to forms and documents may be attached as additional sheets or filed separately. An exhibit to a prior application may be incorporated by reference in a subsequent application.
(d)
Filing fees are not refundable.
Fees shall be remitted by check, draft or money order, but not by personal check or cash, payable to "Treasurer, State of Connecticut."
Connecticut Administrative Code › Title 36b - Connecticut Securities Law and Business Opportunity Investment Act › 31 - Connecticut Uniform Securities Act › Transferred from section 36-500, July 3, 1995 › Section 36b-31-31c - Exemptions from sections 36b-31-2 to 36b-31-33, inclusive, of the regulations

Current through July 10, 2024
The commissioner may exempt a person, security or transaction from a specified provision of sections 36b-31-2 to 36b-31-33, inclusive, of the regulations upon a finding that such exemption is in the public interest.
Connecticut Administrative Code › Title 36b - Connecticut Securities Law and Business Opportunity Investment Act › 31 - Connecticut Uniform Securities Act › Transferred from section 36-500, July 3, 1995 › Section 36b-31-31d - Incorporation of federal statutes, rules and opinions

Current through July 10, 2024
Any regulation requiring compliance with a federal statute, rule or interpretive opinion (excluding "no action letters") of the Securities and Exchange Commission or other administrative agency incorporates such statute, rule or interpretive opinion, as amended from time to time, by reference and makes it a part of sections 36b-31-2 to 36b-31-33, inclusive, of the regulations as fully as if it were set forth herein.
Connecticut Administrative Code › Title 36b - Connecticut Securities Law and Business Opportunity Investment Act › 31 - Connecticut Uniform Securities Act › Transferred from section 36-500, July 3, 1995 › Section 36b-31-31e - Advisory interpretations

Current through July 10, 2024
The commissioner, or employees of the department of banking authorized by him may, whether or not requested by any person, issue written advisory interpretations of sections 36b-31-2 to 36b-31-33, inclusive, of the regulations, including interpretations of the applicability of any provision of sections 36b-31-2 to 36b-31-33, inclusive, of the regulations.
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 4 - Rules of Practice › Section 38-4-1 to 38-4-75 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-4-1
38a-8-1
38-4-2
38a-8-2
38-4-3
38a-8-3
38-4-4
38a-8-4
38-4-5
38a-8-5
38-4-5a
38a-8-6
38-4-6
38a-8-7
38-4-7
38a-8-8
38-4-8
38a-8-9
38-4-9
38a-8-10
38-4-10
38a-8-11
38-4-11
38a-8-12
38-4-12
38a-8-13
38-4-13
38a-8-14
38-4-14
38a-8-15
38-4-15
38a-8-16
38-4-16
38a-8-17
38-4-17
38a-8-18
38-4-18
38a-8-19
38-4-19
38a-8-20
38-4-20
38a-8-21
38-4-21
38a-8-22
38-4-22
38a-8-23
38-4-23
38a-8-24
38-4-24
38a-8-25
38-4-25
38a-8-26
38-4-26
38a-8-27
38-4-27
38a-8-28
38-4-28
38a-8-29
38-4-29
38a-8-30
38-4-30
38a-8-31
38-4-31
38a-8-32
38-4-32
38a-8-33
38-4-33
38a-8-34
38-4-34
38a-8-35
38-4-35
38a-8-36
38-4-36
38a-8-37
38-4-37
38a-8-38
38-4-38
38a-8-39
38-4-39
38a-8-40
38-4-40
38a-8-41
38-4-41
38a-8-42
38-4-42
38a-8-43
38-4-43
38a-8-44
38-4-44
38a-8-45
38-4-45
38a-8-46
38-4-46
38a-8-47
38-4-47
38a-8-48
38-4-48
38a-8-49
38-4-49
38a-8-50
38-4-50
38a-8-51
38-4-51
38a-8-52
38-4-52
38a-8-53
38-4-53
38a-8-54
38-4-54
38a-8-55
38-4-55
38a-8-56
38-4-56
38a-8-57
38-4-57
38a-8-58
38-4-58
38a-8-59
38-4-59
38a-8-60
38-4-60
38a-8-61
38-4-61
38a-8-62
38-4-62
38a-8-63
38-4-63
38a-8-64
38-4-64
38a-8-65
38-4-65
38a-8-66
38-4-66
38a-8-67
38-4-67
38a-8-68
38-4-68
38a-8-69
38-4-69
38a-8-70
38-4-70
38a-8-71
38-4-71
38a-8-72
38-4-72
38a-8-73
38-4-73
38a-8-74
38-4-74
38a-8-75
38-4-75
38a-8-76
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 4c - Arbitration Procedure for Automobile Physical Damage and Property Damage Claims › Section 38-4c-1 to 38-4c-4 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-4c-1
38a-10-1
38-4c-2
38a-10-2
38-4c-3
38a-10-3
38-4c-4
38a-10-4
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 17a - Claims-made Liability Insurance Policies › Section 38-17a-1 to 38-17a-6 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-17a-1
38a-327-1
38-17a-2
38a-327-2
38-17a-3
38a-327-3
38-17a-4
38a-327-4
38-17a-5
38a-327-5
38-17a-6
38a-327-6
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 20 - Requirements for Insurance Companies Applying for a License to do Business in the State of Connecticut › Section 38-20-1 to 38-20-6 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-20-1
38a-41-1
38-20-2
38a-41-2
38-20-3
38a-41-3
38-20-4
38a-41-4
38-20-5
38a-41-5
38-20-6
38a-41-6
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 33 - Insurance on Motor Vehicles Sold Under Instalment Contracts or Pledged for a Loan › Section 38-33-1 to 38-33-9 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-33-1
38a-288-1
38-33-2
38a-288-2
38-33-3
38a-288-3
38-33-4
38a-288-4
38-33-5
38a-288-5
38-33-6
38a-288-6
38-33-7
38a-288-7
38-33-8
38a-288-8
38-33-9
38a-288-9
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 37a - Proxies, Consents and Authorizations of Domestic Stock Insurers › Section 38-37a-1 to 38-37a-10 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-37a-1
38a-147-1
38-37a-2
38a-147-2
38-37a-3
38a-147-3
38-37a-4
38a-147-4
38-37a-5
38a-147-5
38-37a-6
38a-147-6
38-37a-7
38a-147-7
38-37a-8
38a-147-8
38-37a-9
38a-147-9
38-37a-10
38a-147-10
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 64 - Unfair Insurance Practices: Advertisements of Accident and Sickness Insurance › Section 38-64-1 - Effective date of adoption

Current through July 10, 2024
Reg. Sec. 38-61-1 through Reg. Sec. 38-61-21 are repealed simultaneously with the effective date of adoption of Reg. Sec. 38-64-1 through Reg. Sec. 38-64-21.
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 64 - Unfair Insurance Practices: Advertisements of Accident and Sickness Insurance › Section 38-64-2 to 38-64-57 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-64-2
38a-819-1
38-64-3
38a-819-2
38-64-4
38a-819-3
38-64-5
38a-819-4
38-64-6
38a-819-5
38-64-7
38a-819-6
38-64-8
38a-819-7
38-64-9
38a-819-8
38-64-10
38a-819-9
38-64-11
38a-819-10
38-64-12
38a-819-11
38-64-13
38a-819-12
38-64-14
38a-819-13
38-64-15
38a-819-14
38-64-16
38a-819-15
38-64-17
38a-819-16
38-64-18
38a-819-17
38-64-19
38a-819-18
38-64-20
38a-819-19
38-64-21
38a-819-20
38-64-22
38a-819-21
38-64-23
38a-819-22
38-64-24
38a-819-23
38-64-25
38a-819-24
38-64-26
38a-819-25
38-64-27
38a-819-26
38-64-28
38a-819-27
38-64-29
38a-819-28
38-64-30
38a-819-29
38-64-30a
38a-819-30
38-64-31
38a-819-31
38-64-32
38a-819-32
38-64-33
38a-819-33
38-64-34
38a-819-34
38-64-35
38a-819-35
38-64-36
38a-819-36
38-64-37
38a-819-37
38-64-38
38a-819-38
38-64-39
38a-819-39
38-64-40
38a-819-40
38-64-41
38a-819-41
38-64-42
38a-819-42
38-64-43
38a-819-43
38-64-44
38a-819-44
38-64-45
38a-819-45
38-64-46
38a-819-46
38-64-47
38a-819-47
38-64-48
38a-819-48
38-64-49
38a-819-49
38-64-50
38a-819-50
38-64-51
38a-819-51
38-64-52
38a-819-52
38-64-53
38a-819-53
38-64-54
38a-819-54
38-64-55
38a-819-55
38-64-56
38a-819-56
38-64-57
38a-819-57
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 64a - Regulations Governing the Availability of Insurance on Real Property Regardless of Location › Section 38-64a-1 to 38-64a-3 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-64a-1
38a-824-1
38-64a-2
38a-824-2
38-64a-3
38a-824-3
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 68h - Insider Trading of Domestic Stock Insurance Company Equity Securities › Section 38-68h-1 to 38-68h-6 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-68h-1
38a-124-1
38-68h-2
38a-124-2
38-68h-3
38a-124-3
38-68h-4
38a-124-4
38-68h-5
38a-124-5
38-68h-6
38a-124-6
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 68h - Insider Trading of Domestic Stock Insurance Company Equity Securities › Section 38-68h-7a to 38-68h-23 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-68h-7a
38a-124-7
38-68h-8
38a-124-8
38-68h-9
38a-124-9
38-68h-10a
38a-124-10
38-68h-10b
38a-124-11
38-68h-11
38a-124-12
38-68h-12
38a-124-13
38-68h-13
38a-124-14
38-68h-14
38a-124-15
38-68h-15
38a-124-16
38-68h-16
38a-124-17
38-68h-17
38a-124-18
38-68h-18
38a-124-19
38-68h-19
38a-124-20
38-68h-20
38a-124-21
38-68h-21
38a-124-22
38-68h-22
38a-124-23
38-68h-23
38a-124-24
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 68u - Height and Style of Type to be used in Insurance Policies › Section 38-68u-1 to 38-68u-6 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-68u-1
38a-297-1
38-68u-2
38a-297-2
38-68u-3
38a-297-3
38-68u-4
38a-297-4
38-68u-5
38a-297-5
38-68u-6
38a-297-6
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 72(h) - Public Adjusters › Section 38-72(h)-1 to 38-72(h)-8 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-72(h)-1
38a-769-1
38-72(h)-2
38a-769-2
38-72(h)-3
38a-769-3
38-72(h)-4
38a-769-4
38-72(h)-5
38a-769-5
38-72(h)-6
38a-769-6
38-72(h)-7
38a-769-7
38-72(h)-8
38a-769-8
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 75a - Service Fees to Be Charged by Insurance Agents and Insurance Brokers › Section 38-75a-1 to 38-75a-9 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-75a-1
38a-707-1
38-75a-2
38a-707-2
38-75a-3
38a-707-3
38-75a-4
38a-707-4
38-75a-5
38a-707-5
38-75a-6
38a-707-6
38-75a-7
38a-707-7
38-75a-8
38a-707-8
38-75a-9
38a-707-9
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 77 - Casualty Adjusters › Section 38-77-1 to 38-77-5 - Transferred

Current through July 10, 2024
Transferred, December 21, 1992.
Former Section
New Section
38-77-1
38a-792-1
38-77-2
38a-792-2
38-77-3
38a-792-3
38-77-4
38a-792-4
38-77-5
38a-792-5
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 78 - Surplus Lines Insurers › Section 38-78-1 to 38-78-18 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-78-1
38a-794-1
38-78-2
38a-794-2
38-78-3
38a-794-3
38-78-4
38a-794-4
38-78-5
38a-794-5
38-78-6
38a-794-6
38-78-7
38a-794-7
38-78-8
38a-794-8
38-78-9
38a-794-9
38-78-10
38a-794-10
38-78-11
38a-794-11
38-78-12
38a-794-12
38-78-13
38a-794-13
38-78-14
38a-794-14
38-78-15
38a-794-15
38-78-16
38a-794-16
38-78-17
38a-794-17
38-78-18
38a-794-18
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 92b - Conduct of Motor Vehicle Physical Damage Appraisers › Section 38-92b-1 to 38-92b-8 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-92b-1
38a-790-1
38-92b-2
38a-790-2
38-92b-3
38a-790-3
38-92b-4
38a-790-4
38-92b-5
38a-790-5
38-92b-6
38a-790-6
38-92b-7
38a-790-7
38-92b-8
38a-790-8
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 114f - Connecticut FAIR Plan › Section 38-114f-1 to 38-114f-19 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-114f-1
38a-328-1
38-114f-2
38a-328-2
38-114f-3
38a-328-3
38-114f-4
38a-328-4
38-114f-5
38a-328-5
38-114f-6
38a-328-6
38-114f-7
38a-328-7
38-114f-8
38a-328-8
38-114f-9
38a-328-9
38-114f-9a
38a-328-10
38-114f-10a
38a-328-11
38-114f-11
38a-328-12
38-114f-12a
38a-328-13
38-114f-13a
38a-328-14
38-114f-14
38a-328-15
38-114f-15
38a-328-16
38-114f-16
38a-328-17
38-114f-17
38a-328-18
38-114f-18
38a-328-19
38-114f-19
38a-328-20
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 130c - Mortality Tables: Minimum Nonforfeiture Benefits › Section 38-130c-1 to 38-130c-9 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-130c-1
38a-439-1
38-130c-2
38a-439-2
38-130c-3
38a-439-3
38-130c-4
38a-439-4
38-130c-5
38a-439-5
38-130c-6
38a-439-6
38-130c-7
38a-439-7
38-130c-8
38a-439-8
38-130c-9
38a-439-9
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 130e - Mortality Tables: Minimum Reserve Liabilities › Section 38-130e-1 to 38-130e-9 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-130e-1
38a-78-1
38-130e-2
38a-78-2
38-130e-3
38a-78-3
38-130e-4
38a-78-4
38-130e-5
38a-78-5
38-130e-6
38a-78-6
38-130e-7
38a-78-7
38-130e-8
38a-78-8
38-130e-9
38a-78-9
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 135a - Approval of Form of Life Insurance and Annuity Policies and Contracts › Section 38-135a-1 to 38-135a-4 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-135a-1
38a-430-1
38-135a-2
38a-430-2
38-135a-3
38a-430-3
38-135a-4
38a-430-4
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 154a - Variable Life Insurance › Section 38-154a-1 to 38-154a-34 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-154a-1
38a-433-1
38-154a-2
38a-433-2
38-154a-3
38a-433-3
38-154a-4
38a-433-4
38-154a-5
38a-433-5
38-154a-6
38a-433-6
38-154a-7
38a-433-7
38-154a-8
38a-433-8
38-154a-9
38a-433-9
38-154a-10
38a-433-10
38-154a-11
38a-433-11
38-154a-12a
38a-433-12
38-154a-13
38a-433-13
38-154a-14
38a-433-14
38-154a-15
38a-433-15
38-154a-16
38a-433-16
38-154a-17
38a-433-17
38-154a-18
38a-433-18
38-154a-19
38a-433-19
38-154a-20
38a-433-20
38-154a-21
38a-433-21
38-154a-22
38a-433-22
38-154a-23
38a-433-23
38-154a-24
38a-433-24
38-154a-25
38a-433-25
38-154a-26
38a-433-26
38-154a-27
38a-433-27
38-154a-28
38a-433-28
38-154a-29
38a-433-29
38-154a-30
38a-433-30
38-154a-31
38a-433-31
38-154a-32
38a-433-32
38-154a-33
38a-433-33
38-154a-34
38a-433-34
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 165 - Approval of Individual Accident and Health Policy Forms › Section 38-165-1 to 38-165-4 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-165-1
38a-481-1
38-165-2
38a-481-2
38-165-3
38a-481-3
38-165-4
38a-481-4
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 174 - Coordination of Benefits › Section 38-174-1 to 38-174-14 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-174-1
38a-480-1
38-174-2
38a-480-2
38-174-3
38a-480-3
38-174-4
38a-480-4
38-174-5
38a-480-5
38-174-6
38a-480-6
38-174-7
38a-480-7
38-174-8
38a-480-8
38-174-9
38a-480-9
38-174-10
38a-480-10
38-174-11
38a-480-11
38-174-12
38a-480-12
38-174-13
38a-480-13
38-174-14
38a-480-14
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 174m(f) - Medicare Supplemental Insurance Minimum Standards › Section 38-174m(f)-1 to 38-174m(f)-17 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-174m (f)-1
38a-495-1
38-174m (f)-2
38a-495-2
38-174m (f)-3
38a-495-3
38-174m (f)-4
38a-495-4
38-174m (f)-5
38a-495-5
38-174m (f)-6
38a-495-6
38-174m (f)-7
38a-495-7
38-174m (f)-8
38a-495-8
38-174m (f)-9
38a-495-9
38-174m (f)-10
38a-495-10
38-174m (f)-11
38a-495-11
38-174m (f)-12
38a-495-12
38-174m (f)-13
38a-495-13
38-174m (f)-14
38a-495-14
38-174m (f)-15
38a-495-15
38-174m (f)-16
38a-495-16
38-174m (f)-17
38a-495-17
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 174x - Long-Term Care Insurance › Section 38-174x-1 to 38-174x-7 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-174x-1
38a-501-1
38-174x-2
38a-501-2
38-174x-3
38a-501-3
38-174x-4
38a-501-4
38-174x-5
38a-501-5
38-174x-6
38a-501-6
38-174x-7
38a-501-7
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 175a - Minimum Provisions for Automobile Liability Insurance Policies Covering Motor Vehicles › Section 38-175a-1 to 38-175a-9 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-175a-1
38a-334-1
38-175a-2
38a-334-2
38-175a-3
38a-334-3
38-175a-4
38a-334-4
38-175a-5
38a-334-5
38-175a-6
38a-334-6
38-175a-7
38a-334-7
38-175a-8
38a-334-8
38-175a-9
38a-334-9
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 175m - Connecticut Motor Vehicle Insurance Safe Driver Classification Plan › Section 38-175m-1 to 38-175m-3 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-175m-1
38a-347-1
38-175m-2
38a-347-2
38-175m-3
38a-347-3
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 175w - Reports to the National Automobile Theft Bureau, Inc › Section 38-175w-1 to 38-175w-8 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-175w-1
38a-357-1
38-175w-2
38a-357-2
38-175w-3
38a-357-3
38-175w-4
38a-357-4
38-175w-5
38a-357-5
38-175w-6
38a-357-6
38-175w-7
38a-357-7
38-175w-8
38a-357-8
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 201cc - Private Passenger Automobile Insurance Statistical Data Monitoring System › Section 38-201cc-1 to 38-201cc-6 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-201cc-1
38a-693-1
38-201cc-2
38a-693-2
38-201cc-3
38a-693-3
38-201cc-4
38a-693-4
38-201cc-5
38a-693-5
38-201cc-6
38a-693-6
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 201n(c) - Approval of Property \u0026amp; Casualty Insurance Forms › Section 38-201n(c)-1 to 38-201n(c)-3 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992
Former Section
New Section
38-201n (c)-1
38a-676-1
38-201n (c)-2
38a-676-2
38-201n (c)-3
38a-676-3
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 201u - An Accident Prevention Course for Mature Drivers › Section 38-201u-1 to 38-201u-7 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-201u-1
38a-683-1
38-201u-2
38a-683-2
38-201u-3
38a-683-3
38-201u-4
38a-683-4
38-201u-5
38a-683-5
38-201u-6
38a-683-6
38-201u-7
38a-683-7
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 232 - Approval of Form of Fraternal Benefit Society Policies and Contracts › Section 38-232-1 to 38-232-4 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-232-1
38a-640-1
38-232-2
38a-640-2
38-232-3
38a-640-3
38-232-4
38a-640-4
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 255 - Approval of Credit Life Insurance and Credit Accident and Health Insurance Policy Forms › Section 38-255-1 to 38-255-4 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-255-1
38a-651-1
38-255-2
38a-651-2
38-255-3
38a-651-3
38-255-4
38a-651-4
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 374(c) - Coordination of Benefits › Section 38-374(c)-1 to 38-374(c)-6 - Transferred

Current through July 10, 2024
Transferred, September 25, 1993.
Former Section
New Section
38-374 (c)-1
38a-554-1
38-374 (c)-2
38a-554-2
38-374 (c)-3
38a-554-3
38-374 (c)-4
38a-554-4
38-374 (c)-5
38a-554-5
38-374 (c)-6
38a-554-6
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 378 - Individual Accident and Sickness Insurance Minimum Standards › Section 38-378(c)-1 to 38-378(c)-4 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-378 (a)-1
38a-505-1
38-378 (a)-2
38a-505-2
38-378 (a)-3
38a-505-3
38-378 (a)-4
38a-505-4
38-378 (a)-5
38a-505-5
38-378 (a)-6
38a-505-6
38-378 (b)-1
38a-505-7
38-378 (b)-2
38a-505-8
38-378 (c)-1
38a-505-9
38-378 (c)-2
38a-505-10
38-378 (c)-3
38a-505-11
38-378 (c)-4
38a-505-12
Connecticut Administrative Code › Title 38 - Insurance Department (repealed) › 379(b) - Group Coverage Discontinuance and Replacement › Section 38-379(b)-1 to 38-379(b)-6 - Transferred

Current through July 10, 2024
Transferred, September 25, 1992.
Former Section
New Section
38-379 (b)-1
38a-546-1
38-379 (b)-2
38a-546-2
38-379 (b)-3
38a-546-3
38-379 (b)-4
38a-546-4
38-379 (b)-5
38a-546-5
38-379 (b)-6
38a-546-6
Connecticut Administrative Code › Title 38a - Insurance Department › 8 - Organization and Rules of Practice › Article I - DESCRIPTION OF ORGANIZATION AND PUBLIC INFORMATION › Section 38a-8-1 - Duties and authority of insurance department

Current through July 10, 2024
The mission of the Insurance Department is to serve consumers
				  in a professional and timely manner by providing assistance and information to
				  the public and to policy makers, by regulating the insurance industry in a
				  fair, flexible and efficient manner that promotes a competitive and financially
				  sound insurance market for consumers, and by enforcing the insurance laws to
				  ensure that consumers are treated fairly and are protected from unfair
				  practices. The Insurance Department shall act on the Insurance Commissioner's
				  behalf and at his or her direction to fulfill the Commissioner's
				  responsibilities under Title 38a of the Connecticut General Statutes. As such,
				  the insurance department's duties and authority are primarily set out in Title
				  38a of the Connecticut General Statutes. It is the primary function of the
				  Insurance Department to see that all laws regarding insurance are complied with
				  and that the public interest is protected by the enforcement of the insurance
				  laws and all implementing regulations.
Connecticut Administrative Code › Title 38a - Insurance Department › 8 - Organization and Rules of Practice › Article I - DESCRIPTION OF ORGANIZATION AND PUBLIC INFORMATION › Section 38a-8-2 - Basic organization

Current through July 10, 2024
The Insurance Department consists of the office of the
				  Commissioner and eight divisions which are as follows:
(1) Administration Division-responsible for
				all functions relating to accounting, budget and fiscal services, payroll and
				personnel procedures, and computer support for the Insurance
				Department.
(2) Legal Division - in
				consultation with the Office of the Attorney General, provides legal advice and
				related services to the Commissioner and each division of the Insurance
				Department. The division also provides oversight of insurance company
				receiverships and insurance guaranty associations.
(3) Financial Regulation Division-consists of
				three units: the Financial Analysis Unit; the Financial Examinations Unit; and
				the Financial Actuarial Unit.
(A) The
				Financial Analysis Unit determines the eligibility of insurance companies
				applying for a certificate of authority to do an insurance business in
				Connecticut, and monitors the financial condition of admitted domestic and
				foreign insurance companies, health care centers, fraternal benefit societies
				and eligible surplus lines insurers through the analysis of financial
				statements, and other information required by statute.
(B) The Financial Examinations Unit conducts
				on-site financial examinations of domestic entities to ensure that such
				entities remain solvent and capable of meeting their contractual obligations to
				policyholders and claimants.
(C)
				The Financial Actuarial Unit participates in the financial analysis and the
				financial examinations of domestic insurance entities to ensure the ongoing
				solvency of such entities.
Connecticut Administrative Code › Title 38a - Insurance Department › 8 - Organization and Rules of Practice › Article I - DESCRIPTION OF ORGANIZATION AND PUBLIC INFORMATION › Section 38a-8-3 - Duties and method of operations

Current through July 10, 2024
(a)
Commissioner.
The Insurance Commissioner is the department head in
				accordance with section
				4-5
				of the Connecticut General Statutes and administers the provisions of Title 38a
				of the Connecticut General Statutes in accordance with section
				4-8
				of the Connecticut General Statutes. In carrying out his or her official
				duties, the Commissioner may delegate his or her authority to a deputy
				commissioner, chief of staff, a division of the department, an individual
				division director, a hearing officer or an examiner when appropriate. Such
				person shall serve as his or her designee at the pleasure of the
				Commissioner.
(b)
Administration Division.
The Administration Division:
(1) maintains accounting records of
				department;
(2) prepares and
				maintains payroll records for department;
(3) prepares budget for department;
(4) is responsible for mail, supplies, and
				other related support activities;
(5) processes receipts from fees collected
				from insurers and producers;
(6)
				processes taxes collected from surplus lines brokers and unauthorized
				insurers;
(7) maintains staff
				recruitment, classification and compensation;
(8) administers collective bargaining
				contracts;
(9) administers
				personnel policy and procedures, investigates complaints of
				misconduct;
(10) administers
				grievances;
(11) processes time and
				attendance for department;
(12)
				provides information technology support; and
(13) performs other related duties as
				assigned by the Commissioner.
Connecticut Administrative Code › Title 38a - Insurance Department › 8 - Organization and Rules of Practice › Article I - DESCRIPTION OF ORGANIZATION AND PUBLIC INFORMATION › Section 38a-8-4 - Location of principal office

Current through July 10, 2024
The Insurance Department is located at 153 Market Street (960
				  Main Building), 7th Floor, Hartford, Connecticut 06103. The Insurance
				  Department's mailing address is P.O. Box 816, Hartford, Connecticut 06142-0816.
				  Normal business hours are from 8:00 a.m. to 5:00 p.m. daily except Saturdays,
				  Sundays, and holidays.
Connecticut Administrative Code › Title 38a - Insurance Department › 8 - Organization and Rules of Practice › Article I - DESCRIPTION OF ORGANIZATION AND PUBLIC INFORMATION › Section 38a-8-5 - Public information

Current through July 10, 2024
The policy of the Insurance Department, in accordance with
				  the Freedom of Information Act, chapter 14 of the Connecticut General Statutes,
				  is to make available for public inspection all files, records, and documents
				  and other materials within its possession, unless prohibited by
				  law.
Connecticut Administrative Code › Title 38a - Insurance Department › 8 - Organization and Rules of Practice › Article I - DESCRIPTION OF ORGANIZATION AND PUBLIC INFORMATION › Section 38a-8-6 - Insurance department bulletins

Current through July 10, 2024
Any person or group may file a request with the Commissioner
				  to be placed on a mailing list to receive Insurance Department Bulletins. Such
				  request shall be in effect only for the calendar year in which it was filed and
				  all requests shall expire on December 31 each year. The fee for being placed on
				  the mailing list for all Insurance Department Bulletins shall be $20.00 per
				  year and each request shall be accompanied by a check or money order payable to
				  the Treasurer, State of Connecticut.
Connecticut Administrative Code › Title 38a - Insurance Department › 8 - Organization and Rules of Practice › Article II - SCOPE AND CONSTRUCTION OF RULES › Part I - General Provisions › Section 38a-8-7 - Procedure governed

Current through July 10, 2024
Section 38a-8-7 to section
					 38a-8-75,
					 inclusive, of the Regulations of Connecticut State Agencies govern practice and
					 procedure before the Insurance Commissioner or any division of the Insurance
					 Department, an individual division head or a hearing officer, under the
					 applicable laws of the State of Connecticut, and except where by statute
					 otherwise provided.
Connecticut Administrative Code › Title 38a - Insurance Department › 8 - Organization and Rules of Practice › Article II - SCOPE AND CONSTRUCTION OF RULES › Part I - General Provisions › Section 38a-8-8 - Definitions

Current through July 10, 2024
(a) As used in section
				  38a-8-1
				  to section
				  38a-8-75,
				  inclusive, of the Regulations of Connecticut State Agencies, the following
				  words and phrases shall have the same definitions as those contained in chapter
				  54 of the Connecticut General Statutes: "contested case," "final decision,"
				  "hearing officer," "intervenor," "license," "party," "person," "presiding
				  officer," "proposed final decision," "proposed regulation," "regulation," and
				  "regulation-making."
(b) In
				  addition, as used in section
				  38a-8-1
				  to section
				  38a-8-75,
				  inclusive, of the Regulations of Connecticut State Agencies, the following
				  words and phrases shall have the following meanings, except where any such word
				  or phrase is used in a context which clearly indicates the contrary:
(1) "Appellant" means a person who takes an
				  appeal to the Insurance Commissioner from a decision or ruling of the manager
				  or committee designated to operate a residual market mechanism;
(2) "Applicant" means a party applying for
				  any license, right or authority from the Insurance Commissioner;
(3) "Commissioner" means the Insurance
				  Commissioner;
(4) "Complainant"
				  means any person who complains to the Insurance Commissioner of any alleged act
				  or omission in violation of insurance law, regulations or order of the
				  Insurance Commissioner;
(5)
				  "Hearing" means that portion of the department's procedures in the disposition
				  of matters delegated to its jurisdiction by law wherein an opportunity, as
				  deemed appropriate by the presiding officer, for presentation of evidence and
				  argument occurs;
(6) "Non
				  conforming" means not in compliance with applicable provisions of the General
				  Statutes or implementing regulations;
(7) "Petitioner" means a person who has filed
				  a petition with the Insurance Department seeking relief from the Insurance
				  Commissioner;
(8) "Residual market
				  mechanism" means an association, organization or other entity defined or
				  described in sections
				  38a-328,
				  38a-329
				  and
				  38a-670
				  of the Connecticut General Statutes;
(9) "Respondent" means a person against whom
				  an order or a proceeding is directed; and
(10)
Connecticut Administrative Code › Title 38a - Insurance Department › 8 - Organization and Rules of Practice › Article II - SCOPE AND CONSTRUCTION OF RULES › Part I - General Provisions › Section 38a-8-9 - Waiver of rules

Current through July 10, 2024
Where good cause appears, the Commissioner or any presiding
					 officer may permit deviation from the rules of practice, except where precluded
					 by law.
Connecticut Administrative Code › Title 38a - Insurance Department › 8 - Organization and Rules of Practice › Article II - SCOPE AND CONSTRUCTION OF RULES › Part I - General Provisions › Section 38a-8-10 - Construction and amendment

Current through July 10, 2024
The rules of practice shall be construed by the
					 Commissioner and any presiding officer as to secure just, speedy, and
					 inexpensive determination of the issues presented hereunder. Amendments and
					 additions to the rules of practice may be adopted by the Commissioner by being
					 duly promulgated as regulations in accordance with Chapter 54 of the
					 Connecticut General Statutes.
Connecticut Administrative Code › Title 38a - Insurance Department › 8 - Organization and Rules of Practice › Article II - SCOPE AND CONSTRUCTION OF RULES › Part I - General Provisions › Section 38a-8-11 - Computation of time

Current through July 10, 2024
Computation of any period of time referred to in the rules
					 of practice begins with the first day following that on which the act which
					 initiates such period of time occurs and ends on the last day of the period so
					 computed. This last day of that period is to be included unless it is a day on
					 which the office of the department is closed, in which event the period shall
					 run until the end of the next following business day. When such period of time,
					 with the intervening Saturdays, Sundays, and legal holidays counted, is five
					 (5) days or less, such Saturdays, Sundays, and legal holidays shall be excluded
					 from the computation; otherwise such days shall be included in the
					 computation.
Connecticut Administrative Code › Title 38a - Insurance Department › 8 - Organization and Rules of Practice › Article II - SCOPE AND CONSTRUCTION OF RULES › Part I - General Provisions › Section 38a-8-12 - Extension of time

Current through July 10, 2024
In the discretion of the Commissioner, or the presiding
					 officer, for good cause shown any time limit prescribed or allowed by the rules
					 of practice may be extended. All requests for extensions shall be made before
					 the expiration of the period originally prescribed or as previously extended.
					 The Commissioner shall cause all parties to be notified of the action upon any
					 such motion.