Securities Licensing

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• Form ADV Part II Filing Through IARD

• 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

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

• Order Exempting NASD Member Firms from Filing of Annual Statement

• Order Adopting Form BR

• Transactions by a Foreign Broker-dealer Exempt from Federal Registration

• Amended Order Re: Modified Series 65 and 66 Examination

• Order Excluding Banks from BD Definition Until Final SEC Ruling

• Standing Letters of Authorization

• ChFC and CLU Exempt from Series 65 Examination

• Branch Office E-Filing Transition