Regulation D (Rules 504 and 506)
Section 4(a)(2) and Section 4(a)(5) Exemptions
Announcements:
EFD Filing Option Available for Rule 506 Private Placements Effective November 2, 2020
EFD Implementational Order
Instructions
Rule 504 (Regulation D) Filing Instructions
[Note: Rule 505 was repealed by the Securities and Exchange Commission effective May 22, 2017]
Rule 506 (Regulation D) Filing Instructions
Section 4(a)(2) (formerly Section 4(2)) Filing Instructions
Section 4(a)(5) (formerly Section 4(6)) Filing Instructions
Forms
Form U-2 Consent to Service of Process
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
280 Trumbull Street, 16th floor
Hartford, CT 06103
Telephone: (860) 240-8230 or toll-free 1-800-831-7225
E-mail: william.olesky@ct.gov or myrta.feliciano@ct.gov