DOB: Exempt Reporting Adviser Information

Exempt Reporting Advisers


Regulatory Guidance

Commissioner Reminds Exempt Reporting Advisers of Requirements to Qualify for State Exemptive Status (March, 2017)

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)


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

Form ADV (Parts 1 and 2)

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: kevin.maher@ct.gov

Travel directions