Securities Registration, Exemption and Notice Filings
Information by Registration or Exemption Type
In response to the outbreak of the coronavirus, the Department has issued the following interim guidance regarding Securities and Business Opportunity Filings:
Connecticut Interim Guidance - Paperless Submission of Securities Registration, Exemption and Covered Security Filings and Business Opportunity Registration Filings in Light of Pandemic Restrictions - Updated 10/6/2021
Announcements:
Connecticut Adds Online Filing Option for Unit Investment Trusts, effective January 4, 2021
EFD Filing Option Available for Rule 506 Private Placements, effective November 2, 2020
EFD Implementational Order
Small Corporate Offering Registration (SCOR)