DOB: Other Securities Registration Exemptions and Notice Filings

Other Securities Registration Exemptions and Notice Filings

Instructions

Accredited Investor Exemption

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.)

Model Accredited Investor Exemption Form
(3 pages, file size 144 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