DOB: Registration of Securities by Coordination Information

Registration of Securities by Coordination

Instructions

How to Register

Fees

Order Establishing Simplified Procedure for EDGAR Filers

Post-Sale Registration of Securities by Qualification


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

SEC Forms (external link)


Resources

Connecticut Uniform Securities Act
(Word document)

Regulations Under the Connecticut Uniform Securities Act

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

EDGAR (external link)

Registration Disclosure Tips

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


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 olympia.thompson@ct.gov

Travel Directions


Securities Registration, Exemptions and Notice Filings

Visit Connecticut's Business Response Center for information on all licensing and permitting activities across Connecticut State government.