Dealer Requirements: Required to register with the state. Broker/Dealers must pay an Initial registration fee of $250. Agents must pay registration fee of $50.

Filing Fees: 1/10 of 1% of the maximum aggregate offering price of securities to be offered in Connecticut. Minimum fee: $300. Maximum Fee: $1500.

Forms: U-1, U-2, U-2A and U-7 Forms are needed to complete a SCOR filing.

Instructions: Register Securities with the State of Connecticut and pay the relevant licensing fees ($250 for broker-dealers or investment advisors and $50 for agents of issuer, broker dealer agents and investment advisor agents).

Date Last Modified: 08/20/97

Regulatory Contact:

Contact:
Securities Division

Address:
260 Constitution Plaza
Hartford, CT 06103-1800

Phone:
(860) 240-8230 or toll-free at 800-831-7225

Fax:
(860) 240-8295

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