Securities Licensing

Page 1 of 4

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

• Exempt Reporting Adviser Information

• Investment Adviser Agent Information

• Securities Industry Personnel Testing Requirements

• Order Concerning Filings Through the IARD for Investment Advisory Firms

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

• SEC-Registered Investment Adviser Information

• Employers of Agents Seeking Multiple Registration Exempt from Joint and Several Undertaking

• Dodd-Frank IA Exemptive Order

• Investment Adviser Agent Information

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

• Order Adopting Form BR

• Branch Office E-Filing Transition

• Securities Branch Office Information

• Connecticut Securities Branch Office Registration Instructions