Investment Company Notice Filing Main

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Investment Company Notice Filings

Mutual Fund Look-Up

Instructions

How to Notice File

Order Prescribing Use of Form NF for Investment Company Notice Filings

Active Open-End Management Company Filings (downloadable list)

Forms

Form NF Uniform Investment Company Notice Filing (4 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: olympia.thompson@ct.gov

Travel Directions

Securities Registration, Exemptions and Notice Filings