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The Department of Banking has moved! On Monday, November 24, 2025, the Department of Banking relocated its offices to 280 Trumbull Street in Hartford.
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Securities Licensing Information
Client Defined for Connecticut DeMinimis Exemption for Investment Advisers
Persons Displaced as a Result of Hurricane Katrina or Rita (No-Action Determination)
Extension of Hurricane Katrina No-Action
Securities Industry Personnel Testing Requirements
Dodd-Frank IA Exemptive Order
Fees Waived for Military Duty Personnel
Order Governing Federally Exempt Investment Advisers
Order Governing Use of the Internet by Securities Industry
See if an Investment Adviser is Registered
Licensing Fees under the Connecticut Uniform Securities Act
Amended IA Client Counting Order
Dodd-Frank IA Filing Deferral Order
Employers of Agents Seeking Multiple Registration Exempt from Joint and Several Undertaking
