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Rule Making Notices

NOTICE OF PROPOSED RULEMAKING

COLORADO DIVISION OF SECURITIES

Notice is given that Gerald Rome, Securities Commissioner, Colorado Division of Securities, Department of Regulatory Agencies, will hold a public hearing at 9:00 a.m. on Wednesday, December 3, 2014, at the following location:  

Colorado Department of Regulatory Agencies 

Conference Room 975  

  1560 Broadway, 9th Floor 

 

Denver, Colorado 80202

The public hearing is being held to: 1) amend Rule 51-4.7, which delineates “unfair and dishonest dealings” for the purpose of section 11-51-410(1)(g), C.R.S., to include violations of certain FINRA Rules, 2) amend Rules 51-4.3 and 51-4.4(IA) to enhance investor protection by improving the Division’s ability to communicate with its licensees, and 3) repeal Rule 51-8.1. 

At the public hearing, interested parties will be afforded an opportunity to be heard and submit written data, views, or arguments. The Commissioner may also allow oral presentations of such data, views, or arguments unless he deems such presentation unnecessary. Information and materials regarding the proposed rules will be available to any person at the Colorado Division of Securities, 1560 Broadway, Suite 900, Denver, Colorado 80202, and on the Division’s website, http://www.dora.state.co.us/securities, at least five days prior to the public hearing. Additionally, a Statement of Basis and Purpose for each amendment and copies of the proposed rules are attached to this notice.

The Commissioner’s authority to promulgate and rescind such rules is found in sections 11-51-101, et seq., C.R.S, including parts 4 and 7.

Reasonable accommodation will be provided upon request for persons with disabilities. If you are a person with a disability who requires an accommodation to participate in this public hearing, please notify Lillian Alves at (303) 894-2320 by December 1, 2014.

Notice of Rulemaking pdf file

 

 

NOTICE OF PROPOSED RULEMAKING

 

COLORADO DIVISION OF SECURITIES

 

        Notice is given that Fred J. Joseph, Securities Commissioner, Colorado Division of Securities, Department of Regulatory Agencies, will hold a public hearing at 2:00 p.m. on Monday, August 26, 2013 at the following location:

Colorado Department of Regulatory Agencies
Conference Room 975
1560 Broadway, 9th Floor

Denver, Colorado 80202

 The public hearing is being held to amend Rule 51-2.1.1 to exclude business brokers from the definition of “broker-dealer” as defined in the Act at § 11-51-201(2), C.R.S. 

      At the public hearing, interested parties will be afforded an opportunity to be heard and submit written data, views and arguments.  The Commissioner may also allow oral presentations of such data, views, or arguments unless he deems such presentation unnecessary.  Information and materials relating to the proposed rules will be available to any person at the Colorado Division of Securities, 1560 Broadway, Suite 900, Denver, Colorado 80202, and the Division’s website, http://www.dora.state.co.us/securities at least five (5) days prior to the public hearing.

Reasonable accommodation will be provided upon request for persons with disabilities.  If you are a person with a disability who requires an accommodation to participate in this public hearing, please notify Gerald Rome at (303) 894-2320 by August 22, 2013.

Rule 51-2-1-1(IA) pdf file  

 
 
 



 

NOTICE OF PROPOSED RULEMAKING
COLORADO DIVISION OF SECURITIES

 

Notice is given that Fred J. Joseph, Securities Commissioner, Colorado Division of Securities, Department of Regulatory Agencies, will hold a public hearing at 9:00 a.m., September 15, 2010 at the following location

Colorado Department of Regulatory Agencies
Conferences Room 975
1560 Broadway, 9th Floor
Denver, Colorado 80202

Complete Notice

Proposed Amendments to Rules

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NOTICE OF PROPOSED RULEMAKING
COLORADO DIVISION OF SECURITIES

 

Notice is given that Fred J. Joseph, Securities Commissioner, Colorado Division of Securities, Department of Regulatory Agencies, will hold a public hearing at 9:00 a.m. on Friday, October 3, 2008 at the following location:

Colorado Department of Regulatory Agencies
Conference Room 900
1560 Broadway, 9th Floor
Denver, Colorado 80202

The public hearing is being held to revise Rule 51-3.5 concerning the filing requirements for the Investment Company Exemption under § 11-51-307(1)(k), and Rule 51-3.7 concerning the new SEC requirement that Form D be filed electronically. Additionally, the hearing will involve the implementation of the NASAA Model Rule on the use of senior specific certifications and professional designations.
At the public hearing, interested parties will be afforded an opportunity to be heard and submit written data, views and arguments. The Commissioner may also allow oral presentations of such data, views, or arguments unless he deems such presentation unnecessary. Information and materials relating to the proposed rules will be available to any person at the Colorado Division of Securities, 1560 Broadway, Suite 900, Denver, Colorado 80202, and the Division’s website, http://www.dora.state.co.us/securities at least five (5) days prior to the public hearing.
Reasonable accommodation will be provided upon request for persons with disabilities. If you are a person with a disability who requires an accommodation to participate in this public hearing, please notify Gerald Rome at (303) 894-2320 by September 26, 2008.

(Link to proposed Rules )

 

Statements of Basis and Purpose of Rules


51-3.5

51-3.7

51-4.7 and 51-4.8(IA)

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NOTICE OF PROPOSED RULEMAKING
COLORADO DIVISION OF SECURITIES

 

Notice is given that Fred J. Joseph, Securities Commissioner, Colorado Division of Securities, Department of Regulatory Agencies, will hold a public hearing at 1:30 p.m. on Monday, October 30, 2006 at the following location:

Colorado Department of Regulatory Agencies
1560 Broadway
Common Conference Room, 9th Floor
Denver, Colorado 80202

The public hearing is being held to revise rules concerning applications for sales representative licenses and investment adviser representative licenses in order to comply with the requirements of House Bill 06S-1009.

At the public hearing, interested parties will be afforded an opportunity to be heard and submit written data, views and arguments. The Commissioner may also allow oral presentations of such data, views, or arguments unless he deems such presentation unnecessary. Information and materials relating to the proposed rules will be available to any person at the Colorado Division of Securities, 1560 Broadway, Suite 900, Denver, Colorado 80202, and the Division's website, http://www.dora.state.co.us/securities at least five (5) days prior to the public hearing.

Reasonable accommodation will be provided upon request for persons with disabilities. If you are a person with a disability who requires an accommodation to participate in this public hearing, please notify Gerald Rome at (303) 894-2320 by October 23, 2006.

 

Click Here for Proposed Rules

 

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NOTICE OF PROPOSED RULEMAKING
COLORADO DIVISION OF SECURITIES

 

NOTE: The public hearing listed below for August 10, 2004 has been vacated and will now be held on Tuesday, October 5, 2004 at 9:00 AM at the location listed below.

Notice is given that Fred J. Joseph, Securities Commissioner, Colorado Division of Securities, Department of Regulatory Agencies, will hold a public hearing at 9:00 a.m. on Tuesday, August 10, 2004, at the following location:

Conference Room
Colorado Division of Banking
1560 Broadway, Suite 1175
Denver, Colorado 80202


Select
RuleMaking, October 5, 2004 to see the Hearing Notice text.

The proposed rules are:
51-3.1 (revised)
51-3.1 (repealed)
51-6.3
51-4.3(F)
51-4.6(D)6(a)
59-10.4

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NOTICE OF PROPOSED RULEMAKING
COLORADO DIVISION OF SECURITIES

 

Notice is given that Fred J. Joseph, Securities Commissioner, Colorado Division of Securities, Department of Regulatory Agencies, will hold a public hearing at 9:00 a.m. on Tuesday, December 2, 2003, at the following location:

Conference Room B
Colorado Division of Insurance
1560 Broadway, Suite 850
Denver, Colorado 80202

The public hearing is being held to consider repeal of a current Division rule and promulgation of a permanent rule to provide guidance in solicitation or referral arrangements involving investment advisers and third-party solicitors.

At the public hearing, interested parties will be afforded an opportunity to be heard and submit written data, views and arguments. The Commissioner may also allow oral presentations of such data, views, or arguments unless he deems such presentation unnecessary. Information and materials relating to the proposed rules will be available to any person at the Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, Colorado 80203, and the Division's website, http://www.dora.state.co.us/securities at least five (5) days prior to the public hearing. [Proposed Rules in .PDF format: 51-3.13 and 51-4.9(IA)]

Reasonable accommodation will be provided upon request for persons with disabilities. If you are a person with a disability who requires an accommodation to participate in this public hearing, please notify Rich Djokic at (303) 894-2320 by November 1, 2003.

The Securities Commissioner's authority to rescind and promulgate such rules is found in section 11-51-704 of the Colorado Securities Act.

The Securities Commissioner is considering rescinding Division Rule 51-3.13.B in order to eliminate confusion as to the applicability of this rule with Rule 51-3.19 in connection with offerings conducted under Regulation D promulgated by the Securities and Exchange Commission under the provisions of the federal Securities Act of 1933. The Commissioner is further considering promulgating permanent rules in order to provide procedures and guidance to investment advisers and solicitors in connection with solicitation arrangements, and the circumstances governing when a solicitor may engage in such arrangements without being required to be licensed as investment adviser representative with the Commissioner. The proposed rule would further set forth the obligations of the investment adviser and the solicitor in the arrangement, and the obligations of both to the investment advisory client, including providing disclosure of the terms of the arrangement and compensation structure.

NOTE: Rule 51-3.13.B was recinded on December 2, 2003 and the amendment became effective on Feruary 1, 2004.  

 

 

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1560 Broadway, Suite 900, Denver, CO 80202 Email
(303) 894-2320 - Phone (303) 861-2126 - Fax