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Connecticut Sales Agent Broker-Dealer Licensing Questionnaire securities form

Connecticut Sales Agent Broker-Dealer Licensing Questionnaire securities form 2025

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The document is a licensing questionnaire for broker-dealers and agents of issuers in Connecticut, required by the Connecticut Uniform Securities Act. It collects essential information about the issuer, broker-dealer firms, or individual representatives involved in securities transactions within the state to facilitate registration and compliance.

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Click ‘Get Form’ to open the Connecticut Sales Agent Broker-Dealer Licensing Questionnaire in our platform.
Begin by entering the Issuer’s Name in the designated field at the top of the form.
If you will use a broker-dealer firm, provide the broker-dealer’s name and CRD number, followed by their address.
If you will NOT use a broker-dealer, fill in the individual’s name who will represent the issuer, along with their CRD number and address.
Indicate the individual's position with the issuer by selecting from options such as Managing Member, Employee, or Other.
Answer whether this individual is involved in effecting securities transactions and if they will receive any remuneration related to sales.
Finally, certify your responses by signing and printing your name along with your position and date at the bottom of the form.

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Got questions?

We have answers to the most popular questions from our customers. If you can't find an answer to your question, please contact us.

What is form U4 and U5?

While Form U4 is filed when an employee joins a broker-dealer, Form U5 is used when a registered representative leaves the firm. Form U5s full name is the Uniform Termination Notice for Securities Industry Registration. The function of Form U4 is to associate an individual with a particular firm.

What form must a broker-dealer file to register with the SEC and individual states?

Those who wish to become registered must file Form BD (the Uniform Application for Broker-Dealer Registration) with the SEC, appropriate self-regulatory organizations (SROs), including FINRA, and jurisdictions.

What is a U4 form used for?

The Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must use this form to become registered in the appropriate jurisdictions and/or SROs.

Which form must a broker-dealer file when registering a new employee?

The Form U4 (Uniform Application for Securities Industry Registration or Transfer) is used to establish that registration. FINRA, other self-regulatory organizations (SROs) and jurisdictions use the Form U4 to elicit employment history, disciplinary and other information about individuals to register them.

What do you need to work as a compliance for a S broker-dealer?

Every individual who is a broker-dealer, or a compliance supervisor, or reported agent of a broker-dealer must qualify by passing a securities examination as specified in CCR 260.217(a)(1) and should meet all applicable examination requirements of the SEC and the self-regulatory organizations of which the broker-

When must a form U4 be filed?

A broker-dealer must file a Form U4 as soon as an individual joins the firm. A securities broker cant transact securities without first registering with FINRA and an associated firm using the Form U4.

Connecticut Sales Agent Broker-Dealer Licensing Questionnaire securities form 2025

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