Registration of Securities by Qualification


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


Form U-1 Application to Register Securities

Form U-2 (Consent to Service of Process)

Form U-2A Uniform Form of Corporate Resolution


Connecticut Uniform Securities Act
(Word document)

Regulations Under the Connecticut Uniform Securities Act


Registration Disclosure Tips 

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


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