Source: L. 90: Entire article R&RE, p. 723, § 1, effective July 1. L. 98: (3) and (4) added, p. 553, § 8, effective January 1, 1999. L. 2003: (2) amended, p. 1989, § 24, effective May 22. L. 2019: (2) amended, (HB 19-1172), ch. 136, p. 1659, § 60, effective October 1.
Editor's note: This section is similar to former § 11-51-106 (2.1) 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.
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