Other Securities Registration Exemptions and Notice Filings
Instructions
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
Model Accredited Investor Exemption Form
(3 pages)
Form U-2 (Consent to Service of Process)
(4 pages)
Resources
Connecticut Uniform Securities Act
Regulations Under the Connecticut Uniform Securities Act
Small Business: A Guide to Raising Capital (educational publication)
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