Registration and Exemption Filings

Select one of the links below for the following subjects

• Registration by Coordination (Federal 1933 Act Registrations)

• Mutual Funds and Unit Investment Trusts

• Exempt Private placements

• Rule 506 Regulation D Exemptions

• Small Public Offerings

• How to Research Old Stock Certificates

• Municipal Bonds and Special Districts
  

• Viatical Investments

• Local Government Investment Pools
  

The Division suggests that all persons who wish to raise money by offering and selling securities visit the following Securities and Exchange Commission (SEC) web site for Federal Rules and Guidelines regarding the offer and sale of securities:  http://www.sec.gov/info/smallbus/qasbsec.htm

You may request further information regarding securities registrations or exemptions via e-mail to the link found below.

or call the Securities Registration Section at 303-894-2320 or

by U.S. Mail to:

Colorado Division of Securities
1560 Broadway, Suite 900
Denver, CO 80202.