Fees

Notice of Fee Change:

Effective November 2, 2020, the annual and renewal fees will be $24 for the following individual licensees:


•    Colorado/FINRA Sales Representative
•    Mortgage Sales Representative
•    SEC Investment Adviser Representative
•    State-Registered Investment Adviser Representative


Effective November 2, 2020, the annual and renewal fee will be $98 for the following entities:


•    Colorado/FINRA Broker-Dealer
•    Mortgage Broker-Dealer
•    SEC Investment Adviser - Notice Filed
•    State-Registered Investment Adviser


Notice Regarding Reg. D Filings – The Electronic Filing Depository (EFD) has been expanded to accommodate the electronic filing of a greater range of corporation finance materials and acceptance of related filing fees.  Effective December 1, 2020, the Colorado Division of Securities will no longer accept hard copy submissions made pursuant to Rule 504 and Section 11-51-308(1)(p) C.R.S. since EFD is now capable of accepting such filings.   All Form D filings must be submitted to the Securities Commissioner through EFD.   To submit your filing through NASAA’s EFD system, please visit www.efdnasaa.org.

Mail checks, payable to the Colorado State Treasurer, to:
Colorado Division of Securities
1560 Broadway, Suite 900
Denver, CO 80202
 

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