Registering Securities 2

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.
  • 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 NASAA. To submit your filing through NASAA’s EFD system, please visit www.efdnasaa.org

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 Excempt Securities.

Exempt Transactions

Click here for information on Exempt Transactions.

SEC Edgar Database - Access information and complete filings.

Colorado forms and fees.