Forms
Form ADV Part 1A: Writable form - must be downloaded in order to enter information.
Form ADV Part 1B: Writable form - must be downloaded in order to enter information.
Form ADV Part 2: Instructions and glossary for filing.
Form ADV-W: Notice of withdrawal from registration as an investment adviser. Writable form - must be downloaded in order to enter information.
Form AE: Affidavit of Eligibility. Writable form -- must be downloaded in order to enter information.
Form BD: Uniform application for broker-dealer registration. Writable form -- must be downloaded in order to enter information.
Form BDW: Uniform request for broker-dealer withdrawal. Writable form -- must be downloaded in order to enter information.
Form CF-1: Writable form - must be downloaded in order to enter information.
Form CF-2: Writeable form - must be downloaded in order to enter information.
Form CF-3: Writeable form - must be downloaded in order to enter information.
Form CF-4: Writeable form - must be downloaded in order to enter information.
Form D: File paper copy with the Division after submission of "SEC EDGAR" electronic filing (link under "document").
Form ES: Escrow release form required by §11-51-302(6)(b) and Rule 3.4(c). Writable form -- must be downloaded in order to enter information.
Form ES-CF: Escrow release form for crowdfunding offerings. Writeable form - must be downloaded in order to enter information.
Escrow Form: Escrow form.
Form NF: Uniform investment company notice filing for an investment company exemption under §11-51-307(1)(k). Writable form -- must be downloaded in order to enter information.
Form RC-C: Closing form for Registration by Coordination. Writable form -- must be downloaded in order to enter information.
Form RL: Registration by Limited Offering Qualification.
Form RQ: Registration by Qualification. Writable form -- must be downloaded in order to enter information.
Form RQV: Viatical Application. Writable form -- must be downloaded in order to enter information.
Form ST: Exemption for certain non-issuer distributions.
Form U-1: Uniform application to register securities.
Form U-2: Uniform consent to service of process. Writable Form -- must be downloaded in order to enter information.
Form U-2A: Uniform corporate resolutions. Writable form -- must be downloaded in order to enter information.
Form U-4: Instructions for completion.
Form U-5: Instructions for completion.
Form U-7: Small company offering registration form.
Issuer's Manual for Form U-7: Instructions for completing items in the Form U-7.
Form U-CF: Uniform Notice of Federal Crowdfunding Offering.
Form U-SB: Uniform surety bond.
Regulation A Tier 2 Notice Filing Form: Pursuant to Section 18(b)(3), (b)(4), and/or (c)(2) of the Securities Act of 1933
MAIE Exemption: Model Accredited Investor Exemption Uniform Notice of Transaction
Form ME: Notice of claim of exemption from registration for certain municipal securities. Writable Form -- must be downloaded in order to enter information.
Form TR: Notice of Registration for Local Government Investment Pool Trust Funds
Viatical Post-Sale Form: Disclosure document.
Submit a report of senior financial exploitation to the Commissioner below:
Securities Fees
Notice of Fee Change:
Effective November 1, 2024, the annual and the renewal fees will be $14 for the following individual licensees:
- Colorado/FINRA Sales Representative
- Mortgage Sales Representative
- SEC Investment Adviser Representative
- State-Registered Investment Adviser Representative
Effective November 1, 2024, the annual and the renewal fees will be $65 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. Submit your filing through NASAA’s EFD system.
Mail checks, payable to the Colorado State Treasurer, to:
Colorado Division of Securities
1560 Broadway, Suite 900
Denver, CO 80202
Fees
| Description | Statute Section | Fees |
|---|---|---|
| Copy Fee (per paper page) | 11-51-707 | $0.25 |
| Electronic Copies of Lists (per request) | 11-51-707 | Actual Cost: $50-$250 |
| Registration by Coordination | 11-51-303 | $200 |
| Registration by Qualification | 11-51-304(1-5) | $100 |
| Registration by Qualification using Form RL | 11-51-304(6) | $50 |
| Registration by Qualification Using Form U-7 | 11-51-304(1-5) | $100 |
| Regulation D Exemptions | 11-51-308(1)(p) | $50 |
| Model Accredited Investor Exemption | 11-51-309 and Rule 51-3.19 | $50 |
| Crowdfunding Exemption -- Issuer | 11-51-308.5 | $50 |
| Crowdfunding Exemption -- Intermediary | 11-51-308.5 | $60 |
| Crowdfunding Federal Offering | 11-51-308 and Rule 51-3.31 | $50 |
| Reg. A Tier 2 Registration Exemption | 11-51-308 and Rule 51-3.13 | $200 |
| Mutual Funds | 11-51-307(1)(k) | $125 |
| Licensing Exemption for Private Fund Advisers | 11-51-402(b) and Rule 51-4.11(IA) | $69 |
| Unit Investment Trusts | 11-51-307(1)(k) | $125 |
| Colorado Bond Registration | 11-59-110(6,8) | $500 |
| Colorado Bond Exemption | 11-59-110(2,3) | $100 |
| Local Government Trust Registration | 11-51-905 | $5,000 |
| Local Government Trust Annual | 11-51-906 | $2,000 |
| Opinion or No-Action Request | 11-51-705 | $100 |
| Colorado/FINRA Broker-Dealer | 11-51-401 | $65 |
| Colorado/FINRA Sales Representative | 11-51-401 | $14 |
| Colorado Broker-Dealer | 11-51-401 | $65 |
| Colorado Sales Representative | 11-51-401 | $14 |
| Mortgage Broker-Dealer | 11-51-401 | $65 |
| Mortgage Sales Representative | 11-51-401 | $14 |
| SEC Investment Adviser - Notice Filed | 11-51-401 | $65 |
| SEC Investment Adviser Representative | 11-51-401 | $14 |
| State-Registered Investment Adviser | 11-51-401 | $65 |
| State-Registered Investment Adviser Representative | 11-51-401 | $14 |