Investment Adviser Agents
Instructions
Fee Waiver for Military Duty Personnel
Multiple Registration (Joint and Several Liability Undertaking Waiver)
Investment Adviser Registration Depository Order (January 16, 2003)
Persons Displaced by Hurricane Katrina or Rita (No-Action Determination Extended to 6/30/2006)
Forms
Form U-4 (includes Instructions and Definition of Terms) (57 pages)
Uniform Application for Securities Industry Registration or Transfer
Form U-5 (includes Instructions and Definition of Terms) (34 pages)
Uniform Termination Notice for Securities Industry Registration
Form DBA-1 (2 pages)
Trade or Assumed Name Notification
Resources
Connecticut Uniform Securities Act
Regulations Under the Connecticut Uniform Securities Act
Connecticut Testing Requirements for Securities Industry Personnel
FINRA Testing Center Locations
NASAA Series 65 and Series 66 Exam Study Guide
Examination Waiver for Holders of Chartered Financial Consultant ("ChFC")
or Chartered Life Underwriter ("CLU") Designations
Amended Order Concerning the Modified Series 65 and 66 Examinations (March 28, 2000)
Order Adopting the Modified Series 65 and 66 Examinations (December 2, 1999)
Investment Adviser Registration Depository (IARD)
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