Securities Licensing

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

• Branch Office E-Filing Transition

• Connecticut Securities Branch Office Registration Instructions

• Instructions for Agent of Issuer Registration in Connecticut

• Series 65 and 66 Examination Adopted for Investment Adviser Agents

• Order Excluding Banks from BD Definition Until Final SEC Ruling

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

• Applying For Broker-Dealer Registration In Connecticut

• Securities Licensing Information

• Persons Displaced as a Result of Hurricane Katrina or Rita (No-Action Determination)

• Fees Waived for Military Duty Personnel

• Order Governing Use of the Internet by Securities Industry

• Extension of Hurricane Katrina No-Action

• Client Defined for Connecticut DeMinimis Exemption for Investment Advisers

• Dodd-Frank IA Exemptive Order