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With a heat wave approaching, Connecticut's Extreme Hot Weather Protocol will be activated from Thursday, June 11, until Sunday, June 14. Cooling centers are opening statewide. To find the nearest location, visit www.211ct.org or call 2-1-1. [READ THE UPDATE]

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State of Connecticut Department of Banking
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Advisers-State

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  • Connecticut Application for Investment Adviser Registration

  • Investment Advisory Codes of Ethics

  • Compliance Programs of Connecticut Investment Advisers

  • Order Governing Registrations Filings Through the IARD for Agents and Firms

  • Advertising Filing Exemption for State Registered IAs

  • Investment Advisers Cautioned on Use of Hedge Clauses

  • Form ADV Part II Filing Through IARD

  • Order Updating Custody Requirements for Investment Advisers

  • Connecticut-Registered Investment Adviser Information

  • Standing Letters of Authorization

  • Order Concerning Filings Through the IARD for Investment Advisory Firms

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