Registration & Exemption Filings

Securities Registrations

  • It is unlawful to offer to sell or sell any security in Colorado unless it is registered or unless the security or transaction is exempted under provisions in the Colorado Securities Act.
  • Registrations may be filed by the issuer, any other person on whose behalf the offering is to be made, or a licensed broker-dealer.
  • Because registration requirements differ between the state and federal level, the Division recommends that anyone who wishes to raise money through securities offerings visit the Securities and Exchange Commission website for federal rules and guidelines.
  • 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.

Colorado fees and forms.

Registrations and exemptions pertaining to the Colorado Securities Act include: