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Rule 505 [repealed by the Securities and Exchange Commission effective May 22, 2017]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

Form D
(11 pages, 1.1 MB)

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


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