State-Registered Investment Advisers
Instructions
Branch Office Registration, Electronic Filing (Order Adopting Form BR)
Order Governing Certain Investment Advisers Exempt from Federal Registration Following Passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Effective July 21, 2011)
De Minimis Exemption, "Client" Defined (Amended and Restated 7/11/2011)
De Minimis Exemption, "Client" Defined (Original version, March 4, 1999)
Fee Waiver for Military Duty Personnel
Advisers Exempt from Federal Registration Under Section 203(b)(3) of the Investment Advisers Act of 1940 (rescinded effective July 21, 2011)
Operations
Advertising Filing Exemption (Post-Registration)
Client Password Use by Investment Advisory Personnel
Code of Ethics
Persons Displaced by Hurricane Katrina or Rita (No-Action Determination Extended to 6/30/2006)
Internet Dissemination of Information on Products and Services
Forms
Connecticut Supplement for State-Registered Investment Advisers
Form ADV (Parts 1 and 2)
Form ADV (Part 2 only)
Form DBA-1 (Trade or Assumed Name Notification)
Investment Advisory Registrant's Certificate (Connecticut-based firms only)
Resources
Connecticut Uniform Securities Act
Regulations Under the Connecticut Uniform Securities Act
Investment Advisers Act of 1940
Securities Lawyer's Deskbook (Univ. of Cincinnati College of Law)
Examination Program (Books and Records Inspections)
Certified Financial Planner Look-Up (external link)
Investment Adviser Registration Depository (IARD)
Investment Adviser Registration Depository Order (January 16, 2003)
Investment Adviser Registration Depository Order (September 29, 2000)
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: dawn.mafera@ct.gov or kevin.maher@ct.gov