It seems that JavaScript is not working in your browser. It could be because it is not supported, or that JavaScript is intentionally disabled. Some of the features on CT.gov will not function properly with out javascript enabled.
Settings Menu
Connecticut's Extreme Hot Weather Protocol will be activated from Tuesday, July 14, through Thursday, July 16. Cooling centers are available statewide. To find the nearest location, visit www.211ct.org or call 2-1-1. [READ THE UPDATE]
Page 1 of 1
Securities Licensing Information
Client Defined for Connecticut DeMinimis Exemption for Investment Advisers
Securities Industry Personnel Testing Requirements
See if an Investment Adviser is Registered
Licensing Fees under the Connecticut Uniform Securities Act
Dodd-Frank IA Filing Deferral Order
Dodd-Frank IA Exemptive Order
Order Governing Use of the Internet by Securities Industry
Employers of Agents Seeking Multiple Registration Exempt from Joint and Several Undertaking
Amended IA Client Counting Order
Order Governing Federally Exempt Investment Advisers
Extension of Hurricane Katrina No-Action
Persons Displaced as a Result of Hurricane Katrina or Rita (No-Action Determination)
Fees Waived for Military Duty Personnel
