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


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


How to Notice File


Order Prescribing Use of Form NF for Investment Company Notice Filings 


Form NF Uniform Investment Company Notice Filing (4 pages)

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

SEC Forms


Connecticut Uniform Securities Act

Regulations Under the Connecticut Uniform Securities Act

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



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: or

Travel Directions

Securities Registration, Exemptions and Notice Filings