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Financial Services Law Insights and Observations

Connecticut regulator permits paperless submission of security and business filings

State Issues Connecticut State Regulators Covid-19 Securities

State Issues

On March 25, the Securities and Business Investments Division of the State of Connecticut Department of Banking issued interim guidance permitting paperless regulatory filings in light of the Covid-19 pandemic. The interim guidance permits and “highly encourage[s]” securities registration, exemption and covered security filers, as well as business opportunity registration filers, to submit regulatory filings and payments electronically. The Division also waived certain manual signature and notarization requirements.

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