Licensing for Firms and Individuals

Investment Advisers & Investment Adviser Representatives

Guidelines for IA & IAR licensing with Colorado Division of Securities.

Broker-Dealers & Sales Representatives

Guidelines for BD & sales representatives with Colorado Division of Securities.

Examinations Survey

Questionnaire for licensees post-examination by Division of Securities staff.

Email Rule

Rule requiring email registrations of all Colorado licensed investment professionals and businesses.

Colorado Forms

Required Colorado forms.

Colorado Fees

Required Colorado fees.

Additional Resources

Find federal regulatory resources and links to other useful content.