DOB: Connecticut-Registered Investment Adviser Information

State-Registered Investment Advisers

Instructions

How to Register

Fees

New Part 2 of Form ADV:  Pointers

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

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)

Fee Waiver for Military Duty Personnel

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of the Investment Advisers Act of 1940 (rescinded effective July 21, 2011)

Operations

Advertising Materials, Post-Registration Exemption from Filing

Code of Ethics

Compliance Programs

Custody Requirements Updated

Hedge Clauses in Contracts

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

Internet Dissemination of Information on Products and Services

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

Connecticut Supplement for State-Registered Investment Advisers

Form ADV (Parts 1 and 2))

Form ADV (Part 2 only)

Form DBA-1 (Trade or Assumed Name Notification))

Investment Advisory Registrant's Certificate (Connecticut-based firms only))

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)
 
Examination Program (Books and Records Inspections)

Investment Adviser Look-Up

Certified Financial Planner Look-Up (external link)

Investment Adviser Registration Depository (IARD)

Investment Adviser Registration Depository Order (January 16, 2003)

Investment Adviser Registration Depository Order (September 29, 2000)

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