Investment Company Notice Filing Main

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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.

Investment Company Notice Filings

Mutual Fund Look-up

Instructions

How to Notice File

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)

Resources

Connecticut Uniform Securities Act

Regulations Under the Connecticut Uniform Securities Act

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

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