Colorado Code
Title 11 - Financial Institutions
Article 51 - Securities

§ 11-51-308.5. Crowdfunding - Intrastate Offering of Securities - Online Intermediaries - Rules - Fees - Short Title - Legislative Declaration - THESE SECURITIES HAVE NOT BEEN REGISTERED WITH, APPROVED BY, OR...

§ 11-51-308.7. Colorado Digital Token Act - Legislative Declaration - Exemptions - Definitions - Rules - Source: L. 2019: Entire section added, (SB 19-023), ch. 12,...

§ 11-51-309. Discretionary Exemptions - The securities commissioner may, by rule or order and subject...

§ 11-51-310. Denial or Revocation of Exemptions - Source: L. 90: Entire article R&RE, p. 720, § 1,...

§ 11-51-311. Coordination of Exemptions - In furtherance of the policy stated in section 11-51-101 (3),...

Part 4 - Licensing and Regulation of Broker-Dealers and Sales Representatives

§ 11-51-401. Licensing and Notice Filing Requirements - (1.5) A person with a place of business in this...

§ 11-51-402. Exempt Broker-Dealers, Sales Representatives - Sanctions - Exempt Investment Advisers and Investment Adviser Representatives - Source: L. 90: Entire article R&RE, p. 721, § 1,...

§ 11-51-403. Application for License - Notice Filing Requirements - (2.5) The application requirement of subsection (1) of this section...

§ 11-51-404. License and Notice Fees - Source: L. 90: Entire article R&RE, p. 722, § 1,...

§ 11-51-405. Examinations and Alternate Qualifications - Source: L. 90: Entire article R&RE, p. 723, § 1,...

§ 11-51-406. General Provisions - Source: L. 90: Entire article R&RE, p. 723, § 1,...

§ 11-51-407. Operating Requirements - Source: L. 90: Entire article R&RE, p. 724, § 1,...

§ 11-51-408. Licensing of Successor Firms - Source: L. 90: Entire article R&RE, p. 725, § 1,...

§ 11-51-409. Access to Records - Source: L. 90: Entire article R&RE, p. 725, § 1,...

§ 11-51-409.5. Mandatory Disclosure - Investment Advisers and Investment Adviser Representatives - Source: L. 98: Entire section added, p. 559, § 13,...

§ 11-51-410. Denial, Suspension, or Revocation - Source: L. 90: Entire article R&RE, p. 726, § 1,...

§ 11-51-411. Abandonment of License - If a licensed person has died or ceased to exist...

§ 11-51-412. Withdrawal - Source: L. 90: Entire article R&RE, p. 728, § 1,...

Part 5 - Fraud and Other Prohibited Conduct

§ 11-51-501. Fraud and Other Prohibited Conduct - Source: L. 90: Entire article R&RE, p. 728, § 1,...

§ 11-51-502. Misleading Filings - It is unlawful for any person to make or cause...

§ 11-51-503. Unlawful Representation Concerning a License, Registration, or Exemption - Source: L. 90: Entire article R&RE, p. 729, § 1,...

Part 6 - Enforcement and Civil Liability

§ 11-51-601. Investigations - Subpoenas - Source: L. 90: Entire article R&RE, p. 729, § 1,...

§ 11-51-602. Enforcement by Injunction - Source: L. 90: Entire article R&RE, p. 730, § 1,...

§ 11-51-603. Criminal Penalties - Source: L. 90: Entire article R&RE, p. 731, § 1,...

§ 11-51-603.5. Concurrent Enforcement by Attorney General - Legislative Declaration - Source: L. 2005: Entire section added, p. 802, § 1,...

§ 11-51-604. Civil Liabilities - (2.5) An investment adviser or investment adviser representative who violates...

§ 11-51-605. Burden of Proof - In any proceeding under this article, the burden of proving...

§ 11-51-606. Conduct of Proceedings - Cease-and-Desist Orders - Consent Orders - Summary Orders - Issued by Securities Commissioner - Rules - Source: L. 90: Entire article R&RE, p. 734, § 1,...

§ 11-51-607. Judicial Review of Orders - Source: L. 90: Entire article R&RE, p. 734, § 1,...

Part 7 - Administration and Fees

§ 11-51-701. Division of Securities - Creation - Powers and Duties - There is hereby created the division of securities within the...

§ 11-51-702.5. Securities Board - Creation - Duties - Repeal - Source: L. 94: Entire section added, p. 1845, § 10,...

§ 11-51-703. Administration of Article - Source: L. 90: Entire article R&RE, p. 734, § 1,...

§ 11-51-704. Rules, Forms, and Orders - Source: L. 90: Entire article R&RE, p. 735, § 1,...

§ 11-51-705. Interpretive Opinions - The securities commissioner may honor requests from interested persons for...

§ 11-51-706. Consent to Service of Process - Source: L. 90: Entire article R&RE, p. 736, § 1,...

§ 11-51-707. Collection of Fees - Division of Securities Cash Fund Created - Source: L. 90: Entire article R&RE, p. 737, § 1,...

§ 11-51-708. Administrative Files - Source: L. 90: Entire article R&RE, p. 738, § 1,...

Part 8 - Effective Date - Repeal of Article

§ 11-51-801. Effective Date of Article - This article shall be effective on and after July 1,...

§ 11-51-802. Savings Provisions - Source: L. 90: Entire article R&RE, p. 738, § 1,...

§ 11-51-803. Repeal of Article - Source: L. 90: Entire article R&RE, p. 740, § 1,...

Part 9 - Local Government Investment Pool Trust Fund Administration and Enforcement Act

§ 11-51-901. Short Title - This part 9 shall be known and may be cited...

§ 11-51-902. General Powers of Securities Commissioner - The securities commissioner is hereby empowered to administer and enforce...

§ 11-51-903. Interests in Local Government Investment Pool Trust Fund - Source: L. 93: Entire part added, p. 327, § 4,...

§ 11-51-904. Requirement for Registration of Local Government Investment Pools - Source: L. 93: Entire part added, p. 328, § 4,...

§ 11-51-905. General Registration Requirements - Source: L. 93: Entire part added, p. 328, § 4,...

§ 11-51-906. Reports to Securities Commissioner - Source: L. 93: Entire part added, p. 329, § 4,...

§ 11-51-907. Access to Records - Source: L. 93: Entire part added, p. 330, § 4,...

§ 11-51-908. Confidentiality of Information - Financial information and the identities of participating local governments in...

Part 10 - Protect Vulnerable Adults From Financial Exploitation Act

§ 11-51-1001. Short Title - The short title of this part 10 is the "Protection...

§ 11-51-1002. Definitions - As used in this part 10, unless the context otherwise...

§ 11-51-1003. Governmental Disclosures - Immunity - Source: L. 2017: Entire part added, (HB 17-1253), ch. 289,...

§ 11-51-1004. Third-Party Disclosures - Immunity - Source: L. 2017: Entire part added, (HB 17-1253), ch. 289,...

§ 11-51-1005. Delaying Disbursements - Immunity - Source: L. 2017: Entire part added, (HB 17-1253), ch. 289,...

§ 11-51-1006. Immunity for Nondisclosure - A qualified individual who, in good faith and exercising reasonable...

§ 11-51-1007. Records - A broker-dealer or investment adviser shall provide access to or...

§ 11-51-1008. Multiple Duties to Report - Compliance with this part 10 does not discharge the duty...

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Colorado Code Title 11 - Financial Institutions Article 51 - Securities

Colorado Code
Title 11 - Financial Institutions
Article 51 - Securities