Securities Licensing

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• Securities Licensing Information

• Standing Letters of Authorization

• Client Defined for Connecticut DeMinimis Exemption for Investment Advisers

• Order Concerning Filings Through the IARD for Investment Advisory Firms

• Persons Displaced as a Result of Hurricane Katrina or Rita (No-Action Determination)

• Extension of Hurricane Katrina No-Action

• Securities Industry Personnel Testing Requirements

• 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