In accordance with Governor Lamont's emergency declaration, employees and the public are asked to observe social distancing measures to ensure communal safety and to slow the spread of the novel coronavirus (COVID-19). People are asked to work from home and telecommute wherever possible. Adhering to these instructions, the Department of Banking has closed its offices to the public. However, agency staff will continue to provide services to consumers and industry through telework. When contacting the Department, please use electronic communication whenever possible. Agency staff will continue to check voicemails during this time. Consumers are encouraged to use our online form for complaints. If you are unsure where to send an inquiry, you may send it to and it will be routed appropriately. Thank you for your patience during this time.

SEC-Registered Investment Advisers


Notice Filing and Other Requirements


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Advisers Exempt from Federal Registration Under Section 203(b)(3) of the Investment Advisers Act of 1940 (rescinded effective July 21, 2011)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


Form ADV (Parts 1 and 2)
(129 pages)

Form ADV (Part 2 only)
(26 pages)


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


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: or

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