New Email Rule

Pursuant to Rules 51-4.3(K) and 51-4.4(IA)(I), Colorado-licensed sales representatives and investment adviser representatives are required to file their current business email address with the Commissioner. Note: As of July 1, 2017 a new individual email registration form as well as a new multi-submission spreadsheet have been introduced. Please update any bookmarked or saved submission forms.

Sales representatives and investment adviser representatives may file the required information by clicking here. Additionally, employing broker-dealers and investment advisers may file the required information on behalf of the firm’s representatives.

The Division understands that some firms may have a substantial number of representatives. As a courtesy and to ease the initial burden, the Division is allowing firms to file the required information on behalf of their representatives. You will need to download this spreadsheet as an Excel file and email it to: dora_securitieswebsite@state.co.us. Note: Please do not add or delete any columns in the spreadsheet, and only select "Capacity" from the options in the drop down menu at the right side of each box in order to assist us with auto-filing. Please include “Email Rule” in the subject line of the email. The required information must be updated on an individual licensee basis going forward.