BD- Connecticut B-D Securities Industry Trade or Assumed Name Notification Form DBA-1

The CT Broker-Dealer Securities Industry Trade or Assumed Name Notification Form DBA-1 is required if a broker-dealer or broker-dealer agent uses a trade or assumed name pursuant to the Connecticut Uniform Securities Act.  Form DBA-1 should be filed prior to use of a trade or assumed name or to report any material changes to a previously submitted Form DBA-1.  Members also downloaded Connecticut Broker-Dealer Supplement Form or Connecticut Broker-Dealer and Investment Adviser Registration Fees or Connecticut Broker-Dealer and Broker-Dealer Agent Examination Requirements.

Version/Update: V.U/03/2020

Total Page Count/Format: 2/.pdf

Source/Author(s):  CT Department of Banking