State of Connecticut Department of Banking

Small-owned Businesses: Join us for a “Meet the Bankers” event on Wednesday, May 8th at 5:30 p.m. at CT Community College Housatonic in Bridgeport. Click here for more information. Pequeñas empresas: Participe con nosotros en el evento “Conozca a los Banqueros” el miércoles 8 de mayo a las 5:30 p.m. en CT Community College Housatonic en Bridgeport. Presione aquí para más información.

Registration of Securities by Coordination

Instructions

How to Register

Fees

Order Establishing Simplified Procedure for EDGAR Filers

Post-Sale Registration of Securities by Qualification

Forms

Form U-1 Application to Register Securities

Form U-2 (Consent to Service of Process)

Form U-2A Uniform Form of Corporate Resolution

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

Registration Disclosure Tips 

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 dob.sec-reg@ct.gov

Travel Directions

Securities Registration, Exemptions and Notice Filings