Investment Adviser Agents
Instructions
- How to Register
- Fees
- Fee Waiver for Military Duty Personnel
- Multiple Registration (Joint and Several Liability Undertaking Waiver)
- Investment Adviser Registration Depository Order (January 16, 2003)
- Persons Displaced by Hurricane Katrina or Rita (No-Action Determination Extended to 6/30/2006)
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
- Connecticut Testing Requirements for Securities Industry Personnel
- FINRA Testing
- FINRA Testing Center Locations
- NASAA Series 65 Content Outline
- NASAA Series 66 Content Outline
- Third Party Study Vendors
- Examination Waiver for Holders of Chartered Financial Consultant ("ChFC")
or Chartered Life Underwriter ("CLU") Designations - Amended Order Concerning the Modified Series 65 and 66 Examinations (March 28, 2000)
- Order Adopting the Modified Series 65 and 66 Examinations (December 2, 1999)
- 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: dawn.mafera@ct.gov