Broker-Dealers
Instructions
Interim Order Excluding Banks from the "Broker-dealer" Definition(Superseded)
Branch Office Registration, Electronic Filing (Order Adopting Form BR)
Fee Waiver for Military Duty Personnel
Foreign (non U.S.) Broker-dealers
Multiple Registration (Joint and Several Liability Undertaking Waiver)
Operations
Audited Financial Statement Waiver
(Connecticut-registered FINRA Member Firms)
Internet Dissemination of Information on Products and Services
Persons Displaced by Hurricane Katrina or Rita (No-Action Determination Extended to 6/30/2006)
Forms
Connecticut Broker-dealer Supplement (3 pages)
Form DBA-1 Trade or Assumed Name Notification (2 pages)
Resources
Connecticut Uniform Securities Act
Regulations Under the Connecticut Uniform Securities Act
Securities Lawyer's Deskbook (Univ. of Cincinnati College of Law)
NASAA Series 63 Exam Study Guide
Connecticut Testing Requirements for Securities Industry Personnel
FINRA Testing Center Locations
FINRA E-mail Subscription List for Securities Industry Professionals
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: jack.horne@ct.gov or cesar.garcia@ct.gov