DOB: Regulation D, Section 4(a)(2) and 4(a)(5) Exemptions

Regulation D (Rules 504 and 506)
Section 4(a)(2) and Section 4(a)(5) Exemptions

Instructions

Rule 504 (Regulation D) Filing Instructions

Rule 505 [repealed by the Securities and Exchange Commission effective May 22, 2017]

Rule 506 (Regulation D) Filing Instructions

Section 4(a)(2) (formerly Section 4(2)) Filing Instructions

Section 4(a)(5) (formerly Section 4(6)) Filing Instructions


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

Form D
(9 pages; file size 936 KB)

Form U-2 (Consent to Service of Process)
(4 pages, file size 104KB)


Resources

Connecticut Uniform Securities Act
(Word document)

Regulations Under the Connecticut Uniform Securities Act

Fees

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

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


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