NOTICE: 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 Department.Banking@ct.gov and it will be routed appropriately. Thank you for your patience during this time.

Other Securities Registration Exemptions and Notice Filings

Instructions

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

Forms

Model Accredited Investor Exemption Form
(3 pages)

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

Resources

Connecticut Uniform Securities Act

Regulations Under the Connecticut Uniform Securities Act

Fees

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

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

Contact

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