Investment Company Notice Filings
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
Order Prescribing Use of Form NF for Investment Company Notice Filings
Forms
Form NF Uniform Investment Company Notice Filing (4 pages)
Form U-2 Consent to Service of Process (4 pages)
Resources
Connecticut Uniform Securities Act
Regulations Under the Connecticut Uniform Securities Act
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: dob.sec-reg@ct.gov or william.olesky@ct.gov