DOB: Investment Company Notice Filing Main

Investment Company Notice Filings

Mutual Fund Look-Up

Instructions

How to Notice File

Fees

Order Prescribing Use of Form NF for Investment Company Notice Filings

Active Open-End Management Company Filings (downloadable list)    


Forms

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

Form NF Uniform Investment Company Notice Filing
(4 pages, file size 154 KB)

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

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)


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: olympia.thompson@ct.gov

Travel Directions

Securities Registration, Exemptions and Notice Filings