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 Department.Banking@ct.gov and it will be routed appropriately. Thank you for your patience during this time.

Agents of Issuer

Instructions

How to Register

Fees

Fee Waiver for Military Duty Personnel

Multiple Registration (Joint and Several Liability Undertaking Waiver)

Forms

Form U-4 (includes Instructions and Definition of Terms) 
Uniform Application for Securities Industry Registration or Transfer (57 pages)

Form U-5 (includes Instructions and Definition of Terms) 
Uniform Termination Notice for Securities Industry Registration (34 pages)

Form DBA-1 
Trade or Assumed Name Notification (2 pages)

Resources

Connecticut Uniform Securities Act Regulations Under the Connecticut Uniform Securities Act

Financial Industry Regulatory Authority (FINRA) Testing

Financial Industry Regulatory Authority (FINRA) Testing Center Locations

NASAA Series 63 Exam Study Guide

Third Party Study Vendors


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