Registering Securities
- It is unlawful to offer to sell or sell any security in Colorado unless it is registered or unless the security or transaction is exempted under provisions in the Colorado Securities Act. Registrations may be filed by the issuer, any other person on whose behalf the offering is to be made, or a licensed broker-dealer. 11-51-301(1), C.R.S.
- Because registration requirements differ between the state and federal levels, the Division recommends that anyone who wishes to raise money through securities offerings visit the Securities and Exchange Commission website for federal rules and guidelines.
Filing requirements for the following registrations:
- Registration by Coordination
Click here for filing requirements for Registration by Coordination.
- Registration by Qualification
Click here for filing requirements for Registration by Qualification.
- Exempt Securities
Click here for information on Exempt Securities.
- Exempt Transactions
Click here for information on Exempt Transactions.
- Notice Regarding Reg. D Filings
All Form D filings made pursuant to Rules 504 or 506 and Section 11-51-308(1)(p), C.R.S. must be submitted to the Securities Commissioner through the Electronic Filing Depository (EFD) operated by the North American Securities Administrators Association (NASAA).
- Electronic Filing Depository (EFD)
Submit your filing through the North American Securities Administrators Association's (NASAA) EFD system.
- SEC Edgar Database
Access information and complete filings: SEC Edgar Database
- Forms and Fees
See a list of Colorado forms and fees.