Securities Registration Exemption and Notice Filing Information

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A period of extremely frigid temperatures is forecast to impact Connecticut between the afternoon of Saturday, December 21, through Tuesday, December 24. Governor Lamont is activating the state's severe cold weather protocol during this period. To locate a shelter or warming center in Connecticut, call 2-1-1 or visit 211ct.org.

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