To protect the health and safety of the public and our employees, the Department of Banking has limited the number of employees at our office at 260 Constitution Plaza in Hartford. When contacting the Department, please use electronic communication whenever possible. 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.

Investment Company Notice Filings

Mutual Fund Look-Up

In response to the outbreak of the coronavirus, the Department has issued the following interim guidance to investment companies regarding Notice Filings:

Connecticut Interim Guidance on Paperless Submission of Investment Company Filings in Light of Pandemic Restrictions - Updated 10/6/2021

Announcements:

Connecticut Adds Online Filing Option for Unit Investment Trusts, effective January 4, 2021


Instructions

How to Notice File

Fees

Order Prescribing Use of Form NF for Investment Company Notice Filings

Active Open-End Management Company Filings (downloadable list)

Forms

Form NF Uniform Investment Company Notice Filing (4 pages)

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

SEC Forms

Resources

Connecticut Uniform Securities Act

Regulations Under the Connecticut Uniform Securities Act

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

EDGAR


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: olympia.thompson@ct.gov

Travel Directions

Securities Registration, Exemptions and Notice Filings