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.

When Your Broker Calls, Take Notes!

(If you don't know the broker, feel free to hang up!)

It's important to keep good records for all your investments. Retaining information such as account forms, transaction statements or confirmations, and copies of correspondence or notes detailing your instructions to a salesperson can provide an effective "paper trail" in the event of a dispute.

The Department of Banking Securities Division has prepared an Investor's Notepad to help you take notes of conversations with your financial professional.

Print copies of the notepad. Then keep them handy for when you speak with your salesperson or adviser.  Record the details of any recommendations you receive and of any instructions you provide. If you are not familiar with an investment, insist on getting either a prospectus, offering memorandum or financial reports before investing. Keep these notes in your files. You may also wish to follow up verbal instructions with written confirmation letters.

If you have investing questions or complaints, contact the Securities Division.

Additional Resources for Investors