Securities Licensing

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• See if an Investment Adviser is Registered

• Securities Licensing

• Order Concerning Filings Through the IARD for Investment Advisory Firms

• Investment Advisers Cautioned on Use of Hedge Clauses

• Order Governing Registrations Filings Through the IARD for Agents and Firms

• Investment Advisory Codes of Ethics

• Compliance Programs of Connecticut Investment Advisers

• Standing Letters of Authorization

• ERA Filing Reminder - 2017-3

• Employers of Agents Seeking Multiple Registration Exempt from Joint and Several Undertaking

• Amended IA Client Counting Order

• Licensing Fees under the Connecticut Uniform Securities Act

• Advertising Filing Exemption for State Registered IAs

• Form ADV Part II Filing Through IARD

• Order Exempting NASD Member Firms from Filing of Annual Statement