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 Regulations of Connecticut State Agencies (Last Updated: June 14,2023)
 Title21a Consumer Protection
 SubTitle21a-190k-1_21a-190k-9. The Solicitation of Charitable Funds

  SubTitle21a-190k-1_21a-190k-9. The Solicitation of Charitable Funds  

Sec. 21a-190k-1. Charitable organization registration statement
Latest version.

(a) Every charitable organization required to register with the Department of Consumer Protection pursuant to section 21a-190b of the Connecticut General Statutes shall provide the following information on a registration statement furnished by the department:

(1) The organization's full legal name and mailing address;

(2) the organization's telephone number;

(3) the organization's federal employer identification number;

(4) the month the organization's fiscal year ends;

(5) the month and year when the organization began operations;

(6) any name or names, other than that given in subdivision (1) of this subsection, under which funds will be solicited;

(7) the name and contact information of any outside fund-raising counsel or paid solicitor which the organization plans to compensate to raise funds on its behalf in Connecticut;

(8) the organization's tax exempt status with the United States Internal Revenue Service and whether exempt status has ever been denied or revoked;

(9) whether the organization is incorporated, and if incorporated, the state of incorporation;

(10) the purposes of the organization with a description of its major program activities; and

(11) the names, contact information and titles of all officers, directors, trustees and key employees.

(b) The registration statement shall be certified as true and correct by an authorized officer of the charitable organization.

(Adopted effective June 6, 2001; Amended September 11, 2019)

Sec. 21a-190k-2. Charitable organization annual report
Latest version.

The annual report required by section 21a-190c of the Connecticut General Statutes shall consist of:

(1) A form furnished by the department, which shall be signed under penalty of false statement by an authorized officer of the organization, which shall include:

(A) the name and contact information for the charitable organization;

(B) the fiscal year covered by the report;

(C) the Connecticut charities registration number assigned to the charitable organization upon its registration with the department;

(D) whether during the fiscal year covered by the annual report the organization received gross revenue, exclusive of government grants and fees, in excess of the audit threshold established by section 21a-190c(b) of the Connecticut General Statutes;

(E) any name, other than that provided in subparagraph (A) of this subdivision, under which funds will be solicited;

(F) whether the organization used the services of an outside fund-raising counsel or paid solicitor and the name and address of any fund-raising counsel or paid solicitor so used since the filing of the organization's last annual report;

(G) whether the organization plans to use the services of an outside fund-raising counsel or paid solicitor in the next year and the name and address of the fund-raising counsel or paid solicitor;

(H) any change in the organization's tax status with the United States Internal Revenue Service since the filing of its last annual report;

(I) any significant change in the organization's purpose since the filing of its last annual report; and

(J) whether the organization's right to solicit funds has been revoked, denied, suspended or enjoined by any state agency or by any court, or whether any such proceedings are pending and, if any of the foregoing occurred, a detailed statement of the circumstances;

(2) An audit report, if one is required by section 21a-190c(b) of the Connecticut General Statutes, or an attestation that such report has been appropriately filed with the Internal Revenue Service; and

(3) The fee or fees prescribed by section 21a-190c of the Connecticut General Statutes.

(Adopted effective June 6, 2001; Amended September 11, 2019)

Sec. 21a-190k-3. Charitable organizations exempt from registration
Latest version.

(a) Every charitable organization claiming an exemption from registration pursuant to section 21a-190d of the Connecticut General Statutes, shall substantiate the basis for the exemption by filing a form prescribed by the commissioner, which may include:

(1) Whether the organization has ever been registered under the provisions of Chapter 419d of the Connecticut General Statutes and, if the organization has been registered, its registration number;

(2) the organization's full legal name and any other names under which it may operate;

(3) the organization's contact information;

(4) any name or names under which funds will be solicited other than the name given in subdivision (2) of this subsection;

(5) whether the organization is incorporated and, if so, the state of incorporation; and

(6) the statutory basis for the exemption, and if the basis is section 21a-190d(6) of the Connecticut General Statutes (amount of contributions is less than the statutory threshold), a statement of its charitable purpose and major program activities.

(b) The form shall be signed under penalty of false statement by an authorized officer of the organization.

(c) For purposes of section 21a-190d(6) of the Connecticut General Statutes, "normally" means any two out of the charitable organization's most recently completed three fiscal years.

(d) Every charitable organization granted an exemption from registration pursuant to section 21a-190d of the Connecticut General Statutes shall, five years from the date of initial exemption and every five years thereafter, submit a letter to the department confirming that the exemption still applies, and updating the contact information of the organization's officers. Such letter shall be signed under penalty of false statement by an authorized officer of the organization.

(Adopted effective June 6, 2001; Amended September 11, 2019)

Sec. 21a-190k-4. Fund-raising counsel registration statement
Latest version.

Every fund-raising counsel that is required to register or renew its registration with the department pursuant to section 21a-190e(b) of the Connecticut General Statutes, shall provide the following information on a form prescribed by the commissioner, which may include:

(1) Whether the fund-raising counsel has ever been registered under the provisions of Chapter 419d of the Connecticut General Statutes and, if the fund-raising counsel has been registered, its registration number;

(2) the fund-raising counsel's full legal name and any other names under which the fund-raising counsel may operate;

(3) the fund-raising counsel's contact information;

(4) the names, contact information and titles of all officers, directors, and key employees of the fund-raising counsel;

(5) whether the fund-raising counsel is a corporation, partnership, limited liability company, individual or other entity;

(6) the year of the fund-raising counsel's organization and the state under the laws of which the fund-raising counsel was organized; and

(7) whether the fund-raising counsel's registration has ever been revoked, denied, suspended or enjoined by any state agency or by any court, or whether any such proceedings are pending and, if any of the foregoing has occurred, a detailed explanation of the circumstances.

(Adopted effective June 6, 2001; Amended September 11, 2019)

Sec. 21a-190k-5. Paid solicitor registration statement; closing out
Latest version.

(a) Every paid solicitor that is required to register or renew its registration with the department, pursuant to section 21a-190f(a) of the Connecticut General Statutes, shall provide the following information on a form prescribed by the commissioner, which may include:

(1) Whether the paid solicitor has ever been registered under the provisions of Chapter 419d of the Connecticut General Statutes and, if the paid solicitor has been registered, its registration number;

(2) the paid solicitor's full legal name and any other names under which it may operate;

(3) the paid solicitor's contact information;

(4) the names, residence addresses and titles of all officers and directors and all persons or entities with a twenty-five per cent or more ownership interest in the paid solicitor;

(5) whether any of the persons listed in response to subdivision (4) of this subsection have ever been convicted by a court of any state or of the United States of any felony, or of any misdemeanor involving dishonesty or arising from the conduct of a solicitation for a charitable organization or purpose and, if any of the foregoing has occurred, a detailed explanation of the circumstances;

(6) whether the paid solicitor is a corporation, partnership, limited liability company, individual or other entity;

(7) the year of the paid solicitor's organization and the state under the laws of which the paid solicitor was organized;

(8) whether the paid solicitor is registered in other states to solicit funds and, if the paid solicitor is registered in other states, a list of those states; and

(9) whether the paid solicitor's registration has ever been revoked, denied, suspended or enjoined by any state agency or by any court, or whether any proceedings are pending and, if any of the foregoing has occurred, a detailed explanation of the circumstances.

(b) At such time that a charitable organization seeks to close out its business of solicitation, such organization shall submit a letter (1) listing the effective date of closure, (2) confirming that any website has been inactivated and taken down, (3) confirming that all reports shall be completed not later than ninety (90) days after the closure, (4) confirming that all solicitor contracts have been voided, and (5) containing a statement that any remaining funds shall be forwarded to another registered charitable organization, and providing the name of such charitable organization. Such letter shall be under penalty of false statement by an authorized officer of the organization.

(Adopted effective June 6, 2001; Amended September 11, 2019)

Sec. 21a-190k-6. Fund-raising counsel or paid solicitor bond
Latest version.

Fund-raising counsel required to file a bond with the department pursuant to section 21a-190e(b) of the Connecticut General Statutes and every paid solicitor shall file such bond on a form prescribed by the commissioner.

(Adopted effective June 6, 2001; Amended September 11, 2019)

Sec. 21a-190k-7. Solicitation notice
Latest version.

(a) The solicitation notice required by section 21a-190f(c) of the Connecticut General Statutes shall be filed on a form prescribed by the commissioner, which may include:

(1) The name, contact information and registration number of the paid solicitor;

(2) the name, contact information and registration number of the charitable organization;

(3) the dates on which the soliciting will begin and end;

(4) the minimum percentage of gross receipts guaranteed to the charitable organization by the contract required by section 21a-190f(d) of the Connecticut General Statutes;

(5) the method of solicitation that the paid solicitor will employ (e.g. telephone, mail, electronic media, print media, door-to-door, or other);

(6) if the solicitation will be conducted by telephone the notice shall disclose:

(A) The address and telephone number for each location from which calls will be made and the name of the office manager or person in charge at each location; and

(B) the names and residence addresses of all individuals who will solicit during the campaign;

(7) whether any person named in subdivision (6) of this subsection has ever been convicted by any court of any state or of the United States of any felony, or of any misdemeanor involving dishonesty or arising from the conduct of a solicitation for a charitable organization or charitable purpose and, if any of the foregoing has occurred, a detailed explanation of the circumstances;

(8) whether the solicitation will include the sale of goods or services and, if goods or services will be sold, a description of the goods or services, and if tickets to an event will be sold, the type of event, the date of the event and the location of the event; and

(9) the account number, bank name and address for each bank account where receipts for the solicitation campaign will be deposited.

(b) If soliciting is to be made orally, such as by telephone, the text of the oral presentation to be used shall be attached to the solicitation notice.

(c) A copy of the written pledge confirmation required by section 21a-190f(f) of the Connecticut General Statutes (e.g. a receipt or invoice) shall be attached to the solicitation notice.

(d) A copy of the contract described in section 21a-190f(d) of the Connecticut General Statutes shall be filed with the solicitation notice if the contract is not already on file with the department.

(e) The truth of the solicitation notice shall be certified by an officer of the paid solicitor. A representative of the charitable organization shall certify to the truth of the solicitation notice under penalty of false statement.

(Adopted effective June 6, 2001; Amended September 11, 2019)

Sec. 21a-190k-8. Solicitation campaign report
Latest version.

(a) The solicitation campaign financial report required by section 21a-190f(j) of the Connecticut General Statutes shall be filed on a form prescribed by the commissioner, which may include:

(1) The name, contact information and registration number of the paid solicitor;

(2) the name, contact information and registration number of the charitable organization;

(3) the time period covered by the report;

(4) the gross revenue received as of the date of the report;

(5) the amount of uncollected pledges as of the date of the report;

(6) an itemization of the costs of the solicitation campaign by type of expense, such as fees, salaries, or commissions to the paid solicitor, telephone, postage, printing and other expenses;

(7) the total expenses of the campaign; and

(8) the amount of the gross revenue retained by the charitable organization after the payment of all expenses of the campaign.

(b) The truth of the solicitation campaign report shall be certified by an authorized representative of the paid solicitor and by an authorized representative of the charitable organization.

(Adopted effective June 6, 2001; Amended September 11, 2019)

Sec. 21a-190k-9. Failure to maintain active registration
Latest version.

In the event that either party to a contract between a paid solicitor and a charitable organization fails to maintain an active registration with the department for a period greater than thirty (30) consecutive days, all solicitation campaign filings shall be due not more than sixty (60) days after such thirty day period.

(Effective September 11, 2019)