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.

Regulation D (Rules 504 and 506)
Section 4(a)(2) and Section 4(a)(5) Exemptions

Announcements:

EFD Filing Option Available for Rule 506 Private Placements Effective November 2, 2020
EFD Implementational Order

Instructions

Rule 504 (Regulation D) Filing Instructions

Rule 505 [repealed by the Securities and Exchange Commission effective May 22, 2017]

Rule 506 (Regulation D) Filing Instructions

Section 4(a)(2) (formerly Section 4(2)) Filing Instructions

Section 4(a)(5) (formerly Section 4(6)) Filing Instructions

Forms

Form D (11 pages)

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

Resources

Connecticut Uniform Securities Act

Regulations Under the Connecticut Uniform Securities Act

Fees 

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: william.olesky@ct.gov or myrta.feliciano@ct.gov

Travel directions