DOB: Broker-Dealer Information Page

Broker-Dealers

Instructions

How to Register

Interim Order Excluding Banks from the "Broker-dealer" Definition (Superseded)

Branch Office Registration, Electronic Filing (Order Adopting Form BR)

Fees

Fee Waiver for Military Duty Personnel

Foreign (non U.S.) Broker-dealers

Multiple Registration (Joint and Several Liability Undertaking Waiver)

Operations

Audited Financial Statement Waiver
(Connecticut-registered FINRA Member Firms)

Internet Dissemination of Information on Products and Services

Persons Displaced by Hurricane Katrina or Rita (No-Action Determination Extended to 6/30/2006)

Forms
(Forms are in fillable PDF format unless indicated otherwise.  PDF handling help.)

Connecticut Broker-dealer Supplement
(3 pages; file size 66 KB)

Form DBA-1  Trade or Assumed Name Notification 
(2 pages; file size 60 KB)

Resources

Connecticut Uniform Securities Act
(Word document)

Regulations Under the Connecticut Uniform Securities Act

Securities Lawyer's Deskbook (Univ. of Cincinnati College of Law)

NASAA Series 63 Exam Study Guide

Connecticut Testing Requirements for Securities Industry Personnel

FINRA Testing

FINRA Testing Center Locations

Third Party Study Vendors

FINRA E-mail Subscription List for Securities Industry Professionals

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: jack.horne@ct.gov or cesar.garcia@ct.gov

Travel directions