Securities

  1. Law
  2. Colorado Revised Statutes
  3. Financial Institutions
  4. Securities

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Section
11-51-101

Short title and purpose.

Section
11-51-102

Scope of article.

Section
11-51-201

Definitions.

Section
11-51-201.5

Investment adviser registration depository - definition.

Section
11-51-202

References to federal statutes.

Section
11-51-301

Requirement for registration of securities.

Section
11-51-302

General registration provisions.

Section
11-51-303

Registration by coordination.

Section
11-51-304

Registration by qualification.

Section
11-51-304.5

Notice filing - investment companies.

Section
11-51-305

Filing of sales literature.

Section
11-51-306

Denial, suspension, or revocation of registration.

Section
11-51-307

Exempt securities.

Section
11-51-308

Exempt transactions.

Section
11-51-308.5

Crowdfunding - intrastate offering of securities - online intermediaries - rules - fees - short title - legislative declaration.

Section
11-51-308.7

Colorado digital token act - legislative declaration - exemptions definitions - rules.

Section
11-51-309

Discretionary exemptions.

Section
11-51-310

Denial or revocation of exemptions.

Section
11-51-311

Coordination of exemptions.

Section
11-51-401

Licensing and notice filing requirements.

Section
11-51-402

Exempt broker-dealers, sales representatives - sanctions - exempt investment advisers and investment adviser representatives.

Section
11-51-403

Application for license - notice filing requirements.

Section
11-51-404

License and notice fees.

Section
11-51-405

Examinations and alternate qualifications.

Section
11-51-406

General provisions.

Section
11-51-407

Operating requirements.

Section
11-51-408

Licensing of successor firms.

Section
11-51-409

Access to records.

Section
11-51-409.5

Mandatory disclosure - investment advisers and investment adviser representatives.

Section
11-51-410

Denial, suspension, or revocation.

Section
11-51-411

Abandonment of license.

Section
11-51-412

Withdrawal.

Section
11-51-501

Fraud and other prohibited conduct.

Section
11-51-502

Misleading filings.

Section
11-51-503

Unlawful representation concerning a license, registration, or exemption.

Section
11-51-601

Investigations - subpoenas.

Section
11-51-602

Enforcement by injunction.

Section
11-51-603

Criminal penalties.

Section
11-51-603.5

Concurrent enforcement by attorney general - legislative declaration.

Section
11-51-604

Civil liabilities.

Section
11-51-605

Burden of proof.

Section
11-51-606

Conduct of proceedings - cease-and-desist orders - consent orders summary orders - issued by securities commissioner - rules.

Section
11-51-607

Judicial review of orders.

Section
11-51-701

Division of securities - creation - powers and duties.

Section
11-51-702

Division subject to termination. (Repealed)

Section
11-51-702.5

Securities board - creation - duties - repeal.

Section
11-51-703

Administration of article.

Section
11-51-704

Rules, forms, and orders.

Section
11-51-705

Interpretive opinions.

Section
11-51-706

Consent to service of process.

Section
11-51-801

Effective date of article.

Section
11-51-802

Savings provisions.

Section
11-51-803

Repeal of article.

Section
11-51-901

Short title.

Section
11-51-902

General powers of securities commissioner.

Section
11-51-903

Interests in local government investment pool trust fund.

Section
11-51-904

Requirement for registration of local government investment pools.

Section
11-51-905

General registration requirements.

Section
11-51-906

Reports to securities commissioner.

Section
11-51-907

Access to records.

Section
11-51-908

Confidentiality of information.

Section
11-51-1001

Short title.

Section
11-51-1002

Definitions.

Section
11-51-1003

Governmental disclosures - immunity.

Section
11-51-1004

Third-party disclosures - immunity.

Section
11-51-1006

Immunity for nondisclosure.

Section
11-51-1007

Records.

Section
11-51-1008

Multiple duties to report.