State of Connecticut Department of Banking

Fees for Securities Registration, Exemption and Notice Filings

Securities Registration, Notice Filing and Exemption Filing Fees
Under the Connecticut Uniform Securities Act

Note:  All fees are nonrefundable.
Make checks payable to "Treasurer, State of Connecticut."

Registration by Coordination
1/10 of one percent of the maximum aggregate offering price of securities to be offered in Connecticut.  If a registration statement covers multiple classes or series, a fee is due for each one.  Securities offered for sale as a unit are considered to cover a single class.
$300
minimum;
$1,500 maximum
Registration by Qualification
(including SCOR and Regulation A, Tier 1 filings)
1/10 of one percent of the maximum aggregate offering price of securities to be offered in Connecticut.  If a registration statement covers multiple classes or series, a fee is due for each one.  Securities offered for sale as a unit are considered to cover a single class.
$300 minimum;
$1,500 maximum
Post-Sale Registration of Securities by Qualification
Standard registration fee plus $50 $50
Investment Company Filings
(face-amount certificate companies, unit investment trusts, open-end management companies)
Initial notice filing fee (per series or portfolio) $500
Annual renewal notice filing fee (per series or portolio) $500
     
Investment Company Filings
(closed-end management companies)
1/10 of one percent of the maximum aggregate offering price of securities to be offered in Connecticut. 
$300 minimum;
$1,500 maximum
Private Offerings
Rule 504 (Regulation D) exemptive filings (per offering) $150
Rule 505 (Regulation D) - Rule 505 was repealed by the SEC effective May 22, 2017 N/A
Rule 506 (Regulation D) notice filings (per offering) $150
Section 4(a)(2) exemptive filings (per offering) $150
Section 4(a)(5) exemptive filings (per offering) $150
Regulation A, Tier 2 Notice Filings  
Initial filing fee  $250
Renewal filing fee  $250
    
 Amendments (all categories)  
 No charge  $0