Fees

Notice of Fee Change: 
As of November 1, 2017 we have had a fee increase for Colorado licensees.

The following entities have had annual and renewal fees raised to $77.00:

  • Colorado/FINRA Broker-Dealer:
  • Colorado Broker-Dealer
  • Mortgage Broker-Dealer
  • SEC Investment Adviser - Notice Filed
  • State-Registered Investment Adviser

The following individuals have had annual and renewal fees raised to $18.00:

  • Colorado/FINRA Sales Representative
  • Colorado Sales Representative
  • Mortgage Sales Representative
  • SEC Investment Adviser Representative
  • State-Registered Investment Adviser Representative

Notice Regarding Reg. D Filings - Effective February 1, 2016, all Form D filings made pursuant to Rule 506 and Section 11-51-308(1)(p), C.R.S. must be submitted to the Securities Commissioner through the Electronic Filing Depository (“EFD”) operated by NASAA. To submit your filing through NASAA’s EFD system, please visit www.efdnasaa.org. Please note, filings made pursuant to Rules 504 or 505 may still be submitted to the Securities Commissioner in hard copy until EFD is capable of accepting such filings.

Mail checks, payable to the Colorado State Treasurer, to:

Colorado Division of Securities
1560 Broadway, Suite 900
Denver, CO 80202