Agents of Issuer


How to Register


Fee Waiver for Military Duty Personnel

Multiple Registration (Joint and Several Liability Undertaking Waiver)


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)


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


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

Travel directions