Connecticut Franchise Law and FDD Registration

Connecticut Franchise and Business Opportunity FAQs

Who Regulates Franchises in Connecticut?

Connecticut has not enacted franchise laws but has enacted business opportunity laws and the Connecticut Department of Banking regulates and oversees the enforcement of the Connecticut Business Opportunity Investment Act.

Does the Connecticut Business Opportunity Act Apply to Franchises?

Yes it does and the determination of whether or not you must register your FDD with the Department of Banking is determined by the registration status of the primary trademarks of your franchise system. If the primary trademark that you license to your franchisees is not registered with the USPTO, then you must register your FDD with the Department of Banking. If the primary trademark that you license to your franchisees is registered with the USPTO, then you may claim a registration exemption through the filing of an exclusion notice.

What Should I Include with My Exclusion Notice?

If you are claiming a registration exemption (i.e., your trademarks are registered), you must file an "exclusion notice" with the Department of Banking. There is no filing fee and no state mandated form. Your exclusion request should be in the form of a letter that includes the following information:

• Legal name of your franchise company;

• Business address of your franchise company;

• Date when your franchise company was formed;

• Identification of your trademark and your trademarks USPTO registration number; and

• Notification that you are requesting exclusion under Section 36b-61(2)(D) of the Business Opportunity Investment Act.

There is no filing fee and your exemption request will not be effective until it is acknowledged and granted by the Department of Banking. The exemption notice is a one-time filing unless there is a material change in your franchise offering.

Where Should I Mail My Exclusion Notice?

Your exclusion notice may be sent by email to either cynthia.antanaitis@ct.gov or kevin.maher@ct.gov, or may be mailed to the following address:

State of Connecticut Department of Banking
Securities and Business Investment Division
260 Constitution Plaza
Hartford, CT 06103
Phone number: (860) 240-8230

What Should I Include with My FDD Registration?

If your trademarks are not registered, you must register your FDD with the Department of Banking. Your FDD registration application should include:

• Application Form (CT BOIA-1);

• Franchise Disclosure Document (must be current and in compliance with Federal Franchise Rule);

• Consent to Service of Process (CT BOIA-2);

• Copies of franchise sales brochures, advertising and sales materials; and

• Check in the amount of $400 payable to "Treasurer, State of Connecticut".

Registration must be renewed no less frequently than annually. The annual renewal fee is $100 and requires submission of updated forms and marked FDD showing FDD modifications.

Where Should I Mail My FDD Registration Application?

Your FDD registration and renewal applications should be mailed to the following address:

State of Connecticut Department of Banking
Securities and Business Investment Division
260 Constitution Plaza
Hartford, CT 06103