State of Connecticut Department of Banking

Securities Registration, Exemption and Notice Filings

Information by Registration or Exemption Type

Registration by Coordination

Registration by Qualification

Small Corporate Offering Registration (SCOR)

Investment Company Notice Filings

Regulation D (Rules 504 and 506); Section 4(a)(2) (formerly Section 4(2)) and Section 4(a)(5) (formerly Section 4(6)) Exemptions

Other Securities Registration Exemptions and Notice Filings