Securities Licensing

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• Order Exempting Connecticut Branch Offices from On-Site Manager Requirement

• Branch Office E-Filing Transition

• Order Adopting Form BR

• Securities Branch Office Information

• Connecticut Securities Branch Office Registration Instructions

• Instructions for Agent of Issuer Registration in Connecticut

• Agents of Issuer Information

• Amended Order Re: Modified Series 65 and 66 Examination

• ChFC and CLU Exempt from Series 65 Examination

• Series 65 and 66 Examination Adopted for Investment Adviser Agents

• Instructions for Investment Adviser Agent Registration in Connecticut

• Investment Adviser Agent Information

• Order Excluding Banks from BD Definition Until Final SEC Ruling

• Transactions by a Foreign Broker-dealer Exempt from Federal Registration

• Order Exempting NASD Member Firms from Filing of Annual Statement