- 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.
