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Licensing and Regulation of Broker-dealers and Sales Representatives | Midpage
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Colorado Revised Statutes (C.R.S.)
Title 11
Article 51
Part 4
Licensing and Regulation of Broker-dealers and Sales Representatives
11-51-401
Licensing and notice filing requirements.
11-51-402
Exempt broker-dealers, sales representatives - sanctions - exempt investment advisers and investment adviser representatives.
11-51-403
Application for license - notice filing requirements.
11-51-404
License and notice fees.
11-51-405
Examinations and alternate qualifications.
11-51-406
General provisions.
11-51-407
Operating requirements.
11-51-408
Licensing of successor firms.
11-51-409
Access to records.
11-51-409.5
Mandatory disclosure - investment advisers and investment adviser representatives.
11-51-410
Denial, suspension, or revocation.
11-51-411
Abandonment of license.
11-51-412
Withdrawal.