Source: L. 90: Entire article R&RE, p. 726, § 1, effective July 1. L. 94: (1)(d) and (1)(f)(I) amended and (4) added, p. 1839, § 4, effective July 1. L. 95: (1)(i) and (1)(j) amended and (1)(k) added, p. 774, § 3, effective May 24. L. 98: (1) amended and (5) added, p. 559, § 14, effective January 1, 1999. L. 2004: (1)(m) and (1)(n) added, p. 515, § 3, effective July 1.
Editor's note: This section is similar to former § 11-51-111 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.; for the "Commodity Exchange Act", see Pub.L. 67-331, codified at 7 U.S.C. § 1 et seq.; for the "National Securities Markets Improvement Act of 1996", see Pub.L. 104-290, 110 Stat. 3416.
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