Securities Law & Rules
View the Colorado Securities Act, written and implemented in order to protect investors and maintain confidence in the securities market. The Act fulfills this purpose primarily by requiring those who offer and sell securities in Colorado to become properly licensed, to register their offerings when necessary, and to make full and fair disclosure of material facts to potential investors.
View the code of Colorado regulations. NOTE: Barring any unforseen circumstances, the linked code of rules and regulations is anticipated to take effect on July 15, 2017.
Access an archive of rulemaking notices and content, as well as opinions from the Securities Commissioner.
The Commissioner may honor requests from interested persons for confirmation of the applicability of particular exemptions from securities registration or for other interpretive opinions regarding any provision of the Colorado Securities Act. A person submitting a request should submit a detailed description of the applicable facts and specify exactly which provision(s) of the Colorado Securities Act they are requesting an interpretation of. The non-refundable opinion fee is $100.
Effective July 1, 2017, the act creates a mandatory reporting requirement for all licensed investment adviser and broker-dealer firms and their employees where there is a reasonable suspicion or belief that financial exploitation may be occurring.
A member of the public may email the Colorado Office of Policy, Research & Regulatory Reform (COPRRR) to request a cost-benefit analysis (CBA) from the agency proposing rule changes, which is made publicly available when it is completed.