Licensing for Firms and Individuals

Investment Advisers & Investment Adviser Representatives

Guidelines for IA & IAR licensing with Colorado Division of Securities.

Broker Dealers & Sales Representatives

Guidelines for BD & sales representatives with Colorado Division of Securities.

Examinations Survey

Questionnaire for licensees post-examination by Division of Securities staff.

Email Rule

Rule requiring email registrations of all Colorado licensed investment professionals and businesses.

Fees

Required Colorado fees.

Forms

Required forms.

Additional Resources

Find federal regulatory resources and links to other useful content.