Agents of Issuer Information

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Disclaimer

Far below normal precipitation has caused a drought and increased fire danger levels. All of Connecticut is currently in a Stage 2 Drought Advisory. Residents are encouraged to be mindful of water consumption and use extra caution to prevent fires. An emergency burn ban remains in effect at all state parks, forests, and wildlife management areas, prohibiting the use of all outdoor grills, firepits, campfires, etc.

Agents of Issuer

Instructions

How to Register

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
260 Constitution Plaza
Hartford, CT 06103-1800

Telephone: (860) 240-8230 or toll-free 1-800-831-7225
E-mail: william.olesky@ct.gov

Travel directions