Regulation D (Rules 504 and 506)
Section 4(a)(2) and Section 4(a)(5) Exemptions

Instructions

Rule 504 (Regulation D) Filing Instructions

Rule 505 [repealed by the Securities and Exchange Commission effective May 22, 2017]

Rule 506 (Regulation D) Filing Instructions

Section 4(a)(2) (formerly Section 4(2)) Filing Instructions

Section 4(a)(5) (formerly Section 4(6)) Filing Instructions

Forms

Form D (11 pages)

Form U-2 (Consent to Service of Process, 4 pages)

Resources

Connecticut Uniform Securities Act

Regulations Under the Connecticut Uniform Securities Act

Fees 

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

Travel directions