NOTICE: In accordance with Governor Lamont's emergency declaration, employees and the public are asked to observe social distancing measures to ensure communal safety and to slow the spread of the novel coronavirus (COVID-19). People are asked to work from home and telecommute wherever possible. Adhering to these instructions, the Department of Banking has closed its offices to the public. However, agency staff will continue to provide services to consumers and industry through telework. When contacting the Department, please use electronic communication whenever possible. Agency staff will continue to check voicemails during this time. 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.

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
(Word document)

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 or cesar.garcia@ct.gov

Travel directions