Investment Company Notice Filings
Instructions
Order Prescribing Use of Form NF for Investment Company Notice Filings
Connecticut Adds Online Filing Option for Unit Investment Trusts, effective January 4, 2021
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
280 Trumbull Street, 16th floor
Hartford, CT 06103
Telephone: (860) 240-8230 or toll-free 1-800-831-7225
E-mail: dob.sec-reg@ct.gov or william.olesky@ct.gov