State of Connecticut Department of Banking

Small-owned Businesses: Join us for a “Meet the Bankers” event on Wednesday, May 8th at 5:30 p.m. at CT Community College Housatonic in Bridgeport. Click here for more information. Pequeñas empresas: Participe con nosotros en el evento “Conozca a los Banqueros” el miércoles 8 de mayo a las 5:30 p.m. en CT Community College Housatonic en Bridgeport. Presione aquí para más información.

SEC-Registered Investment Advisers

Instructions

Notice Filing and Other Requirements

Fees

Fee Waiver for Military Duty Personnel

Order Establishing a State Registration Timetable for Certain Investment Advisers Affected by the Dodd-Frank Wall Street Reform and Consumer Protection Act

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)

De Minimis Exemption, "Client" Defined (Amended and Restated 7/11/2011)

De Minimis Exemption, "Client" Defined (Original version, March 4, 1999)

Investment Adviser Registration Depository Order (September 29, 2000)

Advisers Exempt from Federal Registration Under Section 203(b)(3) of the Investment Advisers Act of 1940 (rescinded effective July 21, 2011)

Persons Displaced by Hurricane Katrina or Rita (No-Action Determination Extended to 6/30/2006)

Forms

Form ADV (Parts 1 and 2) 

Form ADV (Part 2 only)

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: dawn.mafera@ct.gov

Travel directions