October 16, 2020
The Colorado Division of Securities will be adjusting license fees to keep the Division in compliance with statutory requirements to maintain sufficient revenue. While the fees have increased, the Division remains committed to keeping fees as low as possible.
The fees for individuals will continue to be the lowest in the nation and the fees for firms will also continue to be some of the lowest in the nation.
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.