SEC/FINRA Licensing Procedure

The following information must be filed with FINRA/CRD electronically by the applying broker/dealer

(Refer to the Fee Schedule for appropriate fee amounts)

For a Broker-Dealer License:

1. The appropriate filing fee and;
   

2. An amended Form BD designating Colorado as the recipient of the filing.
   

For a Sales Representative License:

1. The appropriate filing fee and;
   

2. Form U-4 designating Colorado as the recipient of the filing.
   

3. All amendment filing or requests for withdrawal shall also be filed with the FINRA/CRD.

Please contact the Broker-Dealer Regulation Section of the Colorado Division of Securities with questions at 303-894-2320.