The Office of the Attorney General William Tong
Formal Opinions
Page 36 of 42
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John P. Burke, Department of Banking, 1995-017 Formal Opinion, Attorney General of Connecticut
Your department has sought our opinion on two questions relating to the interplay, if any, between Conn. Gen. Stat. §§ 36a-380 and 42-202. The first question asks us: (1) Is a broker-dealer which is a member of the National Association of Securities Dealers, Inc. or registered under CUSA [Connecticut Uniform Securities Act] a "registered broker-dealer", "authorized by law to act as an escrow agent", within the meaning of Section 42-202 of the Connecticut General Statutes? The second question was posed as follows: (2) Does Section 36-314 apply to a corporation that is appointed to act as escrow agent with regard to the money or securities received from the sale of funeral services contracts? If the answer to this question is in the affirmative: (a) Must such corporation obtain a special act of the Connecticut General Assembly in order to act as an escrow agent under Section 42-202, or is such corporation, by virtue of Section 42-202 or otherwise, "specifically empowered so to act by a general statute of this state" within the meaning of Section 36-314; and (b) Does such corporation come within the jurisdiction of both the Department of Banking and the Department of Public Health and Addiction Services?
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Hon. Francisco L. Borges, State Treasurer, 1990-015 Formal Opinion, Attorney General of Connecticut
You have requested our advice with reference to an investment of twenty-five million dollars from five State retirement funds1 which you made in entities which acquired assets comprising the Firearms Division of Colt Industries, Inc. You question whether, due to the size of the investment and the participants, a notice filing with the Federal Trade Commission must be made under the Hart-Scott-Rodino Anti-Trust Improvement Act of l976, codified at l5 U.S.C. e l8a(a). Specifically, you ask whether this transaction falls under the exemption for a state, l5 U.S.C. e l8a(c)(4).
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You have asked us whether l989 Conn. Pub. Acts No. 89-322, "An Act Concerning Liability of Corporate Directors" (hereinafter referred to as the "Act"), applies to banking institutions and credit unions organized under Title 36 of the General Statutes, "The Banking Law of Connecticut."
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This is in response to your request for an opinion from this office regarding the constitutionality of provisions of the proposed interstate banking bill which would set interest rate caps on credit cards as a condition of entry by out-of-state bank holding companies, out-of-state savings and loan holding companies, out-of-state banks, out-of-state savings banks, and out-of-state savings and loan associations.
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This is in response to your request for an opinion from this office regarding the constitutionality of provisions of the proposed interstate banking bill which would set interest rate caps on credit cards as a condition of entry by out-of-state bank holding companies, out-of-state savings and loan holding companies, out-of-state banks, out-of-state savings banks, and out-of-state savings and loan associations.
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In a letter to our office from your predecessor, our advice is requested on the authority of the codes and standards committee to review the actions of the state building inspector taken pursuant to General Statutes e 29-200.
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In a letter dated May 29, 1990, you request our advice on the effect of 1989 Conn. Pub. Acts No. 89-255 e4(c) on the plan review application and permit procedures and issuance of certificates of occupancy sections of the Connecticut State Building Code. Your questions appear to be directed primarily at the scope of the independent engineering consultant review required by 1989 Conn. Pub. Acts No. 89-255.
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In your letter dated June 1, 1990, you requested the opinion of this office as to whether any person designated by you as a serving officer to collect money owed the Unemployment Compensation Fund would be entitled to a statutory right of indemnification. Specifically you inquire as to whether there is a right to indemnification from financial loss and expense from the state for any negligence or civil rights violations arising from such a person's actions while functioning as a serving officer.
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By memoranda dated October 20, 1989, you asked for a formal opinion on whether there are any statutes which prohibit towns from imposing "special exception" zoning permit requirements on family day care homes that are registered by the Department of Human Resources.
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You have requested our advice concerning the meaning of a provision within Conn. Gen. Stat. e 7-402, which relates to the deposit of public money and trust funds by municipalities and school districts.
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You have asked whether the Division of Criminal Justice or the Office of Attorney General should represent the State's interests in matters concerning Youth in Crisis ("YIC"), brought under Public Act 00-177.
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This is in response to the request for advice from your department as to the proper interpretation of P.A. 00-139. Section 1(b) of the act provides subject to certain specified exceptions, that "(no) state agency may disclose to the public an individual’s photograph or computerized image in connection with the issuance of an identification card or other document by such state agency, unless such individual has provided his or her express consent for such disclosure."
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You have requested our advice concerning the types of accounts that are available for deposit of funds pursuant to section 51-81c of the Connecticut General Statutes, as amended by Public Act 89-196. Section 51-81c established the Interest on Lawyers Trust Accounts program ("IOLTA").
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In your letter of July 11, 1990 to Dale M. Dreyfus, Associate Vice President for Finance and Business Affairs at the University Connecticut, you asked for an interpretation from this office of the authority granted to the University of Connecticut by 1990 Conn. Pub. Acts No. 90-201, e 6. You also inquired about its effect on the current state travel contract (Travel Services Agreement).
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This letter is in response to your request for a formal legal opinion concerning the interpretation and application of 2008 Conn. Pub. Acts No. 08-32, “An Act Concerning Teenage Drivers.”