DOB: Registration of Securities by Qualification Information

Registration of Securities by Qualification

Instructions

How to Register

Post-Sale of Securities of Securities by Qualification

Exemption for Certain Internet Offers

Exemption for Foreign Margin Stock

Exemption for Marginable Securities

Exemption for Sales to Customers of Certain Foreign (non U.S.) Broker-dealers

Insurance Company Demutualizations


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

Form U-1 Application to Register Securities

Form U-2 (Consent to Service of Process)

Form U-2A Uniform Form of Corporate Resolution


Resources

Connecticut Uniform Securities Act
(Word document)

Regulations Under the Connecticut Uniform Securities Act

Fees

Registration Disclosure Tips

Small Business: A Guide to Raising Capital (educational publication)

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


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:  william.olesky@ct.gov or cesar.garcia@ct.gov

Travel directions