DOB: Securities Branch Office Information Page

Branch Offices
(Broker-dealers and Connecticut Registered Investment Advisers)


Instructions

How to Register

Fees

Connecticut Transitions to Electronic Filing for Branch Office Registrations Effective October 31, 2005

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

Waiver of On-Site Manager (Broker-dealer and Investment Advisory Branch Offices)


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

Form BR (Uniform Branch Office Registration Form)
Revised to October, 2005 (12 pages; file size 439 KB)

Workers' Compensation Coverage Questionnaire
Revised to January, 2001 (1 page; file size 36 KB)


Resources

Connecticut Uniform Securities Act
(Word document)

Regulations Under the Connecticut Uniform Securities Act


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

Travel directions