Agents of Issuer
Instructions
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
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: william.olesky@ct.gov