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NEW EMAIL RULES:
As recently adopted in 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 by June 1, 2015.
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 by completing this spreadsheet and emailing the spreadsheet to: firstname.lastname@example.org. Please include “Email Rule” in the subject line of the email. The required information must be updated on an individual licensee basis going forward.
Inquiries regarding a Broker's licensing status and disciplinary history can be made by calling the Division at 303-894-2320 and asking to speak to the examiner in charge of Central Registration Depository (CRD) records, or you may obtain the same information by connecting to the: FINRA Web Site
Colorado requires that Canadian Broker/Dealers that are dealing with their existing clients (while those clients are temporarily residing in Colorado) file with the Division a copy of their Canadian application of the jurisdiction in which they reside. (See: Rule 51-2.1.1 and Rule 51-3.17) There is no fee for this one-time filing.