DOB: Agents of Issuer Information Page

Agents of Issuer


How to Register


Fee Waiver for Military Duty Personnel

Multiple Registration (Joint and Several Liability Undertaking Waiver)

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

Form U-4 (includes Instructions and Definition of Terms) (Uniform Application for Securities Industry Registration or Transfer)
  (57 pages; file size 484 KB)

Form U-5 (includes Instructions and Definition of Terms) (Uniform Termination Notice for Securities Industry Registration)
  (34 pages; file size 589 KB)

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


Connecticut Uniform Securities Act
(Word document)

Regulations Under the Connecticut Uniform Securities Act

Financial Industry Regulatory Authority (FINRA) Testing

Financial Industry Regulatory Authority (FINRA) Testing Center Locations

NASAA Series 63 Exam Study Guide

Third Party Study Vendors


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

Travel directions