Agents of Issuer
Instructions
Fee Waiver for Military Duty Personnel
Multiple Registration (Joint and Several Liability Undertaking Waiver)
Forms
Form U-4 (includes Instructions and Definition of Terms)
Uniform Application for Securities Industry Registration or Transfer (57 pages)
Form U-5 (includes Instructions and Definition of Terms)
Uniform Termination Notice for Securities Industry Registration (34 pages)
Form DBA-1
Trade or Assumed Name Notification (2 pages)
Resources
Connecticut Uniform Securities Act Regulations Under the Connecticut Uniform Securities Act
Financial Industry Regulatory Authority (FINRA) Testing
Financial Industry Regulatory Authority (FINRA) Testing Center Locations
NASAA Series 63 Exam Study Guide
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: kevin.maher@ct.gov