Exempt Reporting Adviser Information
Exempt Reporting Advisers
Regulatory Guidance
Commissioner Reminds Exempt Reporting Advisers of Requirements to Qualify for State Exemptive Status (March, 2017)
Order Governing Certain Investment Advisers Exempt from Federal Registration Following Passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Effective July 21, 2011)
Forms
Form ADV (Parts 1 and 2)
Resources
Connecticut Uniform Securities Act
Regulations Under the Connecticut Uniform Securities Act
Investment Advisers Act of 1940
Securities Lawyer's Deskbook (Univ. of Cincinnati College of Law)
Investment Adviser Registration Depository (IARD)
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: dob.sec-reg@ct.gov