Regulation A, Tier 2
Connecticut Notice Filing Instructions
On June 23, 2025, Connecticut amended Chapter 672a of the Connecticut General Statutes, the Connecticut Uniform Securities Act (the “Act”) (see Section 36b-21(d)(2)) to require an issuer proposing to offer and sell securities in this state that are covered securities under Regulation A, Tier 2 to first make a notice filing with the Division.
How Much Does the Filing Cost?
The initial filing fee for the Notice is $250. The renewal fee is also $250.
What to File
- Uniform Notice Filing of Regulation A - Tier 2 Offering
- Form U-2 Consent to Service of Process
- Nonrefundable filing fee payable to “Treasurer, State of Connecticut (for ACH payments see below).
When to File
At least twenty-one (21) calendar days prior to the initial sale of securities in this state.
How Long is the Filing Valid?
The initial filing is effective for twelve (12) months from the date the form is filed with the Division.
How to Renew
For each additional twelve (12) month period in which the same offering is continued, an issuer may renew its notice filing on or before the expiration date. The issuer renews by filing a renewal Uniform Notice Filing of Regulation A - Tier 2 Offering and nonrefundable renewal filing fee.
Where to File
Paper filings, together with a check for the initial or renewal filing fee, may be submitted to the Division at the address listed below. Alternatively, the forms may be submitted as attachments to an email addressed to dob.sec-reg@ct.gov and the initial or renewal filing fee paid by ACH. For ACH payment instruction, please email the department at dob.ar@ct.gov (no wire payments are permitted).
Questions?
For more information or assistance, contact us at:
Connecticut Department of Banking
Securities and Business Investments Division
280 Trumbull Street, 16th floor
Hartford, CT 06103
Telephone: (860) 240-8230 or toll-free 1-800-831-7225
Fax: 860-240-8295
E-mail: dob.sec-reg@ct.gov