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


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Rule 505 [repealed by the Securities and Exchange Commission effective May 22, 2017]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 are in PDF format unless indicated otherwise.  PDF handling help.)

Form D
(11 pages, 1.1 MB)

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


Connecticut Uniform Securities Act
(Word document)

Regulations Under the Connecticut Uniform Securities Act


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

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


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: or

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