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 Qualification

Instructions

How to Register

Post-Sale of Securities of Securities by Qualification

Exemption for Certain Internet Offers

Exemption for Foreign Margin Stock

Exemption for Marginable Securities

Exemption for Sales to Customers of Certain Foreign (non U.S.) Broker-dealers

Insurance Company Demutualizations

Forms

Form U-1 Application to Register Securities

Form U-2 (Consent to Service of Process)

Form U-2A Uniform Form of Corporate Resolution

Resources

Connecticut Uniform Securities Act

Regulations Under the Connecticut Uniform Securities Act

Fees

Registration Disclosure Tips 

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

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 

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