Registration of Securities by Coordination


How to Register


Order Establishing Simplified Procedure for EDGAR Filers

Post-Sale Registration of Securities by Qualification


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


Connecticut Uniform Securities Act

Regulations Under the Connecticut Uniform Securities Act

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


Registration Disclosure Tips 


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

CT Business Response Center
Visit Connecticut's Business Response Center for information on all licensing and permitting activities across Connecticut State government.