DOB: SEC-Registered Investment Adviser Information

SEC-Registered Investment Advisers


Instructions

Notice Filing and Other Requirements

Fees

Fee Waiver for Military Duty Personnel

Order Establishing a State Registration Timetable for Certain Investment Advisers Affected by the Dodd-Frank Wall Street Reform and Consumer Protection Act

Order Governing Certain Investment Advisers Exempt from Federal Registration
Following Passage of the Dodd-Frank Wall Street Reform and Consumer
Protection Act
 (Effective July 21, 2011)

De Minimis Exemption, "Client" Defined (Amended and Restated 7/11/2011)

De Minimis Exemption, "Client" Defined (Original version, March 4, 1999)

Investment Adviser Registration Depository Order (September 29, 2000)

Advisers Exempt from Federal Registration Under Section 203(b)(3)
of the Investment Advisers Act of 1940 (rescinded effective July 21, 2011)

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


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

Form ADV (Parts 1 and 2)
(129 pages, file size 1.74 MB)

Form ADV (Part 2 only)
(26 pages, file size 246 KB)

Resources

Connecticut Uniform Securities Act
(Word document)

Regulations Under the Connecticut Uniform Securities Act

Investment Advisers Act of 1940

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

Investment Adviser Registration Depository (IARD)

Investment Adviser Look-Up


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: dawn.mafera@ct.gov or kevin.maher@ct.gov

Travel directions