Agents of Issuer
Instructions
- How to Register
- Fees
- Fee Waiver for Military Duty Personnel
- Multiple Registration (Joint and Several Liability Undertaking Waiver)
Forms
- Form U-4 (includes Instructions and Definition of Terms)
Uniform Application for Securities Industry Registration or Transfer - Form U-5 (includes Instructions and Definition of Terms)
Uniform Termination Notice for Securities Industry Registration - Form DBA-1
Trade or Assumed Name Notification
Resources
- Connecticut Uniform Securities Act
- Regulations Under the Connecticut Uniform Securities Act
- Financial Industry Regulatory Authority (FINRA) Testing
- Financial Industry Regulatory Authority (FINRA) Testing Center Locations
- NASAA Series 63 Content Outline
- Third Party Study Vendors
Contact
For more information or assistance, contact us at:
Connecticut Department of Banking
Securities Division
280 Trumbull Street, 16th floor
Hartford, CT 06103-1800
Telephone: (860) 240-8230 or toll-free 1-800-831-7225
E-mail: william.olesky@ct.gov