In accordance with Governor Lamont's emergency declaration, employees and the public are asked to observe social distancing measures to ensure communal safety and to slow the spread of the novel coronavirus (COVID-19). People are asked to work from home and telecommute wherever possible. Adhering to these instructions, the Department of Banking has closed its offices to the public. However, agency staff will continue to provide services to consumers and industry through telework. When contacting the Department, please use electronic communication whenever possible. Agency staff will continue to check voicemails during this time. Consumers are encouraged to use our online form for complaints. If you are unsure where to send an inquiry, you may send it to and it will be routed appropriately. Thank you for your patience during this time.

Investor Bill of Rights

When You Invest, You Have the Right to:
  1. Ask for and receive information from a firm about the work history and background of the person handling your account, as well as information about the firm itself.
  2. Receive complete information about the risks, obligations and costs of any investment before investing.
  3. Receive recommendations consistent with your financial needs and investment objectives.
  4. Receive a copy of all completed account forms and agreements.
  5. Receive account statements that are accurate and understandable.
  6. Understand the terms and conditions of transactions you undertake.
  7. Access your funds in a timely manner and receive information about any restrictions or limitations on access.
  8. Discuss account problems with the branch manager or compliance department of the firm and receive prompt attention to and fair consideration of your concerns.
  9. Receive complete information about commissions, sales charges, maintenance or service charges, transaction or redemption fees, and penalties.
  10. Contact the Securities Division in order to verify the employment and disciplinary history of a securities salesperson and the salesperson's firm; find out if the investment is permitted to be sold; or file a complaint.