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Rule 505 [repealed by the Securities and Exchange Commission effective May 22, 2017]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)
Form U-2 (Consent to Service of Process, 4 pages)
Resources
Connecticut Uniform Securities Act
Regulations Under the Connecticut Uniform Securities Act
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