Registration of Securities by Qualification
Instructions
Post-Sale of Securities of Securities by Qualification
Exemption for Certain Internet Offers
Exemption for Foreign Margin Stock
Exemption for Marginable Securities
Exemption for Sales to Customers of Certain Foreign (non U.S.) Broker-dealers
Insurance Company Demutualizations
Forms
Form U-1 Application to Register Securities
Form U-2 (Consent to Service of Process)
Form U-2A Uniform Form of Corporate Resolution
Resources
Connecticut Uniform Securities Act
(Word document)
Regulations Under the Connecticut Uniform Securities Act
Securities Lawyer's Deskbook (Univ. of Cincinnati Law Library)
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