Source: L. 90: Entire article R&RE, p. 721, § 1, effective July 1. L. 95: (4) added, p. 773, § 2, effective May 24. L. 98: (5) and (6) added, p. 550, § 5, effective January 1, 1999. L. 99: (6) amended, p. 619, § 10, effective August 4. L. 2003: (3) amended, p. 1988, § 23, effective May 22. L. 2015: IP(1), (1)(a)(V), and (1)(b) amended and (1)(c) added, (HB 15-1246), ch. 98, p. 287, § 3, effective August 5. L. 2019: (3) amended, (HB 19-1172), ch. 136, p. 1659, § 59, effective October 1.
Editor's note: This section is similar to former § 11-51-105 as it existed prior to 1990.
Cross references: For the "Securities Exchange Act of 1934", see Pub.L. 73-291, codified at 15 U.S.C. § 78a et seq.; for the "Investment Advisers Act of 1940", see Pub.L. 76-768, codified at 15 U.S.C. § 80b-1 et seq.
Structure Colorado Code
Title 11 - Financial Institutions
Part 4 - Licensing and Regulation of Broker-Dealers and Sales Representatives
§ 11-51-401. Licensing and Notice Filing Requirements
§ 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