Securities Licensing

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• Connecticut Securities Branch Office Registration Instructions

• Order Adopting Form BR

• Branch Office E-Filing Transition

• Order Exempting Connecticut Branch Offices from On-Site Manager Requirement

• Amended Order Re: Modified Series 65 and 66 Examination

• Instructions for Investment Adviser Agent Registration in Connecticut

• Series 65 and 66 Examination Adopted for Investment Adviser Agents

• ChFC and CLU Exempt from Series 65 Examination

• Investment Advisory Codes of Ethics

• Compliance Programs of Connecticut Investment Advisers

• Order Governing Registrations Filings Through the IARD for Agents and Firms

• Advertising Filing Exemption for State Registered IAs

• Investment Advisers Cautioned on Use of Hedge Clauses

• Form ADV Part II Filing Through IARD

• Order Updating Custody Requirements for Investment Advisers