Connecticut

  • Connecticut is a disclosure jurisdiction.
  • Connecticut accepts the Uniform Application to Register Securities (Form U1), and does not allow for electronic signatures of forms.
  • Registration requires filing or delivery of:
    • Filing fee
    • Application form
    • Financial statements
    • A Consent to Service of Process (Form U2)
    • SEC Form 1-A with exhibits
  • Connecticut collects a variable fee. There is a nonrefundable filing fee of one-tenth of one percent of the maximum aggregate offering price of securities to be offered in the State of Connecticut, with a maximum of $1,500 and a minimum of $300. Fees should be payable to “Treasurer, State of Connecticut”. Payments should be sent to the following address:
Mailing Address:  Courier Address:
State of Connecticut
Department of Banking
Securities and Business Investments Division
260 Constitution Plaza
Hartford, CT  06103-1800
State of Connecticut
Department of Banking
Securities and Business Investments Division
260 Constitution Plaza
Hartford, CT  06103-1800
  • For additional information, please visit the Department of Banking’s website at www.ct.gov/dob/, or contact them at (860)240-8261.

 

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