Other Securities Registration Exemptions and Notice Filings


Accredited Investor Exemption

Exemption for Certain Internet Offers

Exemption for Foreign Margin Stock

Exemption for Marginable Securities

Exemption for Sales to Customers of Certain Foreign (non U.S.) Broker-dealers

Insurance Company Demutualizations


Model Accredited Investor Exemption Form
(3 pages)

Form U-2 (Consent to Service of Process)
(4 pages)


Connecticut Uniform Securities Act

Regulations Under the Connecticut Uniform Securities Act


Small Business: A Guide to Raising Capital (educational publication)

Securities Lawyer's Deskbook (Univ. of Cincinnati College of Law)


For more information or assistance, contact us at:

Connecticut Department of Banking
Securities Division
260 Constitution Plaza
Hartford, CT 06103-1800

Telephone: (860) 240-8230 or toll-free 1-800-831-7225
E-mail: william.olesky@ct.gov or cesar.garcia@ct.gov

Travel directions