R.C.S.A. § 38a-124-12
Exemption of certain securities from section 38a-120
Cite as Conn. Agencies Regs. § 38a-124-12
Any security shall be exempt from the operation of section 38a-120 of the 1965 supplement to the general statutes to the extent necessary to render lawful under such section the execution by a broker of an order for an account in which he has no direct or indirect interest.