Colorado Securities Act
Colorado · Financial Institutions · §§ 11-51-1001 to 11-51-908 · 69 sections
Overview
The act regulates the offer and sale of securities within a state and the conduct of the people and firms that deal in them, including broker-dealers, salespersons, and investment advisers. It prohibits fraudulent and deceptive practices in securities transactions and advisory relationships, and requires that securities be registered — by coordination with a federal filing or by qualification — before they may be offered or sold, subject to enumerated exemptions for certain securities and transactions. Administration rests with a state official empowered to license and examine registrants, set fees and recordkeeping requirements, issue stop orders halting an offering, and deny, condition, suspend, or revoke registrations and exemptions after notice and hearing.
Editorial summary generated from the text of this act. It is not part of the statute — read the sections below for the operative language.
Sections covered
- C.R.S. § 11-51-1001Short title
- C.R.S. § 11-51-1002Definitions
- C.R.S. § 11-51-1003Governmental disclosures
- C.R.S. § 11-51-1004Third-party disclosures
- C.R.S. § 11-51-1005Delaying disbursements
- C.R.S. § 11-51-1006Immunity for nondisclosure
- C.R.S. § 11-51-1007Records
- C.R.S. § 11-51-1008Multiple duties to report
- C.R.S. § 11-51-101Short title and purpose
- C.R.S. § 11-51-102Scope of article
- C.R.S. § 11-51-201Definitions
- C.R.S. § 11-51-201.5Investment adviser registration depository
- C.R.S. § 11-51-202References to federal statutes
- C.R.S. § 11-51-301Requirement for registration of securities
- C.R.S. § 11-51-302General registration provisions
- C.R.S. § 11-51-303Registration by coordination
- C.R.S. § 11-51-304Registration by qualification
- C.R.S. § 11-51-304.5Notice filing
- C.R.S. § 11-51-305Filing of sales literature
- C.R.S. § 11-51-306Denial, suspension, or revocation of registration
- C.R.S. § 11-51-307Exempt securities
- C.R.S. § 11-51-308Exempt transactions
- C.R.S. § 11-51-308.7Colorado digital token act
- C.R.S. § 11-51-309Discretionary exemptions
- C.R.S. § 11-51-310Denial or revocation of exemptions
- C.R.S. § 11-51-311Coordination of exemptions
- C.R.S. § 11-51-401Licensing and notice filing requirements
- C.R.S. § 11-51-402Exempt broker-dealers, sales representatives
- C.R.S. § 11-51-403Application for license
- C.R.S. § 11-51-404License and notice fees
- C.R.S. § 11-51-405Examinations and alternate qualifications
- C.R.S. § 11-51-406General provisions
- C.R.S. § 11-51-407Operating requirements
- C.R.S. § 11-51-408Licensing of successor firms
- C.R.S. § 11-51-409Access to records
- C.R.S. § 11-51-409.5Mandatory disclosure
- C.R.S. § 11-51-410Denial, suspension, or revocation
- C.R.S. § 11-51-411Abandonment of license
- C.R.S. § 11-51-412Withdrawal
- C.R.S. § 11-51-501Fraud and other prohibited conduct
- C.R.S. § 11-51-502Misleading filings
- C.R.S. § 11-51-503Unlawful representation concerning a license, registration, or exemption
- C.R.S. § 11-51-601Investigations
- C.R.S. § 11-51-602Enforcement by injunction
- C.R.S. § 11-51-603Criminal penalties
- C.R.S. § 11-51-603.5Concurrent enforcement by attorney general
- C.R.S. § 11-51-604Civil liabilities
- C.R.S. § 11-51-605Burden of proof
- C.R.S. § 11-51-606Conduct of proceedings
- C.R.S. § 11-51-607Judicial review of orders
- C.R.S. § 11-51-701Division of securities
- C.R.S. § 11-51-702.5Securities board
- C.R.S. § 11-51-703Administration of article
- C.R.S. § 11-51-704Rules, forms, and orders
- C.R.S. § 11-51-705Interpretive opinions
- C.R.S. § 11-51-706Consent to service of process
- C.R.S. § 11-51-707Collection of fees
- C.R.S. § 11-51-708Administrative files
- C.R.S. § 11-51-801Effective date of article
- C.R.S. § 11-51-802Savings provisions
- C.R.S. § 11-51-803Repeal of article
- C.R.S. § 11-51-901Short title
- C.R.S. § 11-51-902General powers of securities commissioner
- C.R.S. § 11-51-903Interests in local government investment pool trust fund
- C.R.S. § 11-51-904Requirement for registration of local government investment pools
- C.R.S. § 11-51-905General registration requirements
- C.R.S. § 11-51-906Reports to securities commissioner
- C.R.S. § 11-51-907Access to records
- C.R.S. § 11-51-908Confidentiality of information
Enacted in other states
Alaska, Alabama, Arkansas, Delaware, Maryland, Mississippi, Montana, North Carolina, North Dakota, Tennessee, Texas, Virginia, Washington
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