To protect the health and safety of the public and our employees, the Department of Banking has limited the number of employees at our office at 260 Constitution Plaza in Hartford. When contacting the Department, please use electronic communication whenever possible. 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.

Exempt Reporting Advisers


Regulatory Guidance

Commissioner Reminds Exempt Reporting Advisers of Requirements to Qualify for State Exemptive Status (March, 2017)

Order Governing Certain Investment Advisers Exempt from Federal Registration Following Passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Effective July 21, 2011)

Forms

Form ADV (Parts 1 and 2)

Resources

Connecticut Uniform Securities Act

Regulations Under the Connecticut Uniform Securities Act

Investment Advisers Act of 1940

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

Investment Adviser Registration Depository (IARD)

Investment Adviser Look-Up


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: kevin.maher@ct.gov

Travel directions