Securities Licensing

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• Order Exempting Connecticut Branch Offices from On-Site Manager Requirement

• Order Exempting NASD Member Firms from Filing of Annual Statement

• Order Adopting Form BR

• Transactions by a Foreign Broker-dealer Exempt from Federal Registration

• Amended Order Re: Modified Series 65 and 66 Examination

• Order Excluding Banks from BD Definition Until Final SEC Ruling

• Series 65 and 66 Examination Adopted for Investment Adviser Agents

• ChFC and CLU Exempt from Series 65 Examination

• Branch Office E-Filing Transition

• Order Updating Custody Requirements for Investment Advisers

• Investment Advisers Cautioned on Use of Hedge Clauses

• Order Concerning Filings Through the IARD for Investment Advisory Firms

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

• Standing Letters of Authorization

• ERA Filing Reminder - 2017-3