State-Registered Investment Advisers

COVID-Related Deferral of Annual Financial Reporting Requirement for Connecticut-Registered  Investment Advisers Rescinded

On April 9, 2020, the Securities and Business Investments Division of the Department of Banking issued an advisory granting Connecticut-registered investment advisers an interim deferral of annual financial reporting requirements.  The advisory was issued in response to the coronavirus (COVID) pandemic.  The national Public Health Emergency relating to COVID expired on May 11, 2023, and the State of Connecticut Department of Public Health followed suit on June 13, 2023.  Accordingly, the Division is rescinding the April 9, 2020 advisory.

Going forward, all Connecticut-registered investment advisers should file their report of financial condition in a timely manner within 90 days following the close of their fiscal or calendar year as required by Section 36b-31-14d(a) of the Regulations under the Connecticut Uniform Securities Act, and include an Investment Advisory Registrant's Certificate with the financial report.

Instructions

How to Register

Fees

Part 2 of Form ADV:  Pointers

Branch Office Registration, Electronic Filing (Order Adopting Form BR)

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)

Fee Waiver for Military Duty Personnel

Advisers Exempt from Federal Registration Under Section 203(b)(3) of the Investment Advisers Act of 1940 (rescinded effective July 21, 2011)

Operations

Standing Letters of Authorization

Advertising Filing Exemption (Post-Registration)

Client Password Use by Investment Advisory Personnel

Code of Ethics

Compliance Programs

Custody Requirements Updated

Hedge Clauses in Contracts

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

Internet Dissemination of Information on Products and Services

 

Forms

Connecticut Supplement for State-Registered Investment Advisers

Form ADV (Parts 1 and 2)

Form ADV (Part 2 only)

Form DBA-1 (Trade or Assumed Name Notification)

Investment Advisory Registrant's Certificate (Connecticut-based firms 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)

Examination Program (Books and Records Inspections)

Investment Adviser Look-Up

Certified Financial Planner Look-Up

Investment Adviser Registration Depository (IARD)

Investment Adviser Registration Depository Order (January 16, 2003)

Investment Adviser Registration Depository Order (September 29, 2000)

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

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