Securities Registration Exemption and Notice Filing Information

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Far below normal precipitation has caused a drought and increased fire danger levels. All of Connecticut is currently in a Stage 2 Drought Advisory. Residents are encouraged to be mindful of water consumption and use extra caution to prevent fires. An emergency burn ban remains in effect at all state parks, forests, and wildlife management areas, prohibiting the use of all outdoor grills, firepits, campfires, etc.

Securities Registration, Exemption and Notice Filings

Information by Registration or Exemption Type

Registration by Coordination

Registration by Qualification

Small Corporate Offering Registration (SCOR)

Investment Company Notice Filings

Regulation D (Rules 504 and 506); Section 4(a)(2) (formerly Section 4(2)) and Section 4(a)(5) (formerly Section 4(6)) Exemptions

Other Securities Registration Exemptions and Notice Filings

Announcements:

Connecticut Adds Online Filing Option for Unit Investment Trusts, effective January 4, 2021
EFD Filing Option Available for Rule 506 Private Placements, effective November 2, 2020
EFD Implementational Order

State of Connecticut Department of Banking

Securities Registration, Exemption and Notice Filings

Information by Registration or Exemption Type