State of Connecticut Department of Banking

Small-owned Businesses: Join us for a “Meet the Bankers” event on Wednesday, May 8th at 5:30 p.m. at CT Community College Housatonic in Bridgeport. Click here for more information. Pequeñas empresas: Participe con nosotros en el evento “Conozca a los Banqueros” el miércoles 8 de mayo a las 5:30 p.m. en CT Community College Housatonic en Bridgeport. Presione aquí para más información.

Investment Company Notice Filings

Mutual Fund Look-up

Instructions

How to Notice File

Fees

Order Prescribing Use of Form NF for Investment Company Notice Filings

Connecticut Adds Online Filing Option for Unit Investment Trusts, effective January 4, 2021

Forms

Form NF Uniform Investment Company Notice Filing (4 pages)

Form U-2 Consent to Service of Process (4 pages)

SEC Forms

Resources

Connecticut Uniform Securities Act

Regulations Under the Connecticut Uniform Securities Act

Securities Lawyer's Deskbook (Univ. of Cincinnati College of Law)

EDGAR
  

Contact

For more information or assistance, contact us at:

Connecticut Department of Banking
Securities Division
260 Constitution Plaza
Hartford, CT 06103-1800

Telephone: (860) 240-8230 or toll-free 1-800-831-7225
E-mail:  dob.sec-reg@ct.gov or william.olesky@ct.gov

Travel Directions

Securities Registration, Exemptions and Notice Filings