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.

Securities Registration, Notice Filing and Exemption Filing Fees
Under the Connecticut Uniform Securities Act

Note:  All fees are nonrefundable.
Make checks payable to "Treasurer, State of Connecticut."

Registration by Coordination
1/10 of one percent of the maximum aggregate offering price of securities to be offered in Connecticut.  If a registration statement covers multiple classes or series, a fee is due for each one.  Securities offered for sale as a unit are considered to cover a single class.
$300
minimum;
$1,500 maximum
Registration by Qualification
(including SCOR and Regulation A filings)
1/10 of one percent of the maximum aggregate offering price of securities to be offered in Connecticut.  If a registration statement covers multiple classes or series, a fee is due for each one.  Securities offered for sale as a unit are considered to cover a single class.
$300 minimum;
$1,500 maximum
Post-Sale Registration of Securities by Qualification
Standard registration fee plus $50 $50
Investment Company Filings
(face-amount certificate companies, unit investment trusts, open-end management companies)
Initial notice filing fee (per series or portfolio) $500
Annual renewal notice filing fee (per series or portolio) $500
Investment Company Filings
(closed-end management companies)
1/10 of one percent of the maximum aggregate offering price of securities to be offered in Connecticut. 
$300 minimum;
$1,500 maximum
  
Private Offerings
Rule 504 (Regulation D) exemptive filings (per offering) $150
Rule 505 (Regulation D) - Rule 505 was repealed by the SEC effective May 22, 2017 N/A
Rule 506 (Regulation D) notice filings (per offering) $150
Section 4(a)(2) exemptive filings (per offering) $150
Section 4(a)(5) exemptive filings (per offering) $150
Amendments (all categories)
No charge $0