3 CCR 704-1 - RULES UNDER THE COLORADO SECURITIES ACT

  1. Chapter 1 - (Reserved for future use)
  2. Chapter 2 - DEFINITIONS AND FEDERAL COORDINATION (§ 3 CCR 704-1-51-2.1 to 3 CCR 704-1-51-2.2)
  3. Chapter 3 - REGISTRATION OF SECURITIES AND EXEMPTIONS (§ 3 CCR 704-1-51-3.1 to 3 CCR 704-1-51-3.36)
  4. Chapter 4 - LICENSING OF BROKER-DEALERS AND SALES REPRESENTATIVES (§ 3 CCR 704-1-51-4.1 to 3 CCR 704-1-51-4.8)
  5. Chapter 4(IA) - NOTICE FILING FROM FEDERAL COVERED ADVISERS. LICENSING OF INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES (§ 3 CCR 704-1-51-4.1(IA) to 3 CCR 704-1-51-4.15(IA))
  6. Chapter 5 - (Reserved for future use)
  7. Chapter 6 - PROCEDURES FOR HEARINGS CONDUCTED BY THE COLORADO SECURITIES BOARD AND THE OFFICE OF ADMINISTRATIVE COURTS (§ 3 CCR 704-1-51-6.0 to 3 CCR 704-1-51-6.5)
  8. Chapter 7 - ADMINISTRATION AND FEES (§ 3 CCR 704-1-51-7.1 to 3 CCR 704-1-51-7.4)
  9. Chapter 8 - EFFECTIVE DATE (§ 3 CCR 704-1-51-8.1)
  10. Chapter 9 - LOCAL GOVERNMENT INVESTMENT POOL TRUST FUNDS (§ 3 CCR 704-1-51-9.1 to 3 CCR 704-1-51-9.7)

Notes

3 CCR 704-1
Rules 51-3.5, 51-3.7, 51-4.7, 51-4.8(1A) eff. 12/01/2008.
Rules 51-2.1; 51-3.9(a-g), 51-3.10b; 51-4.1B, 51-4.3, 51-4.4; 51-4.1(1A)(C-D), 51-4.3(1A)(G-I), 51-4.4(1A) A, E-H, 51-4.5(1A)C, 51-4.6(1A)A15(c), 51-4.8(1A)R, 51-4.10(1A), 51-7.1 eff. 11/30/2010.
Rule 51-2.1.1.B eff. 10/15/2013.
Rules 51-4.7.G-51-4.7.I eff. 01/30/2015.
Rules 51-4.3.K, 51-4.4(IA).I eff. 06/01/2015.
Rules 51-3.20-51 -3.30 emer. rules eff. 08/05/2015.
Rules 51-3.20-51.3.30 eff. 10/15/2015.
Rules 51-3.1, 51-3.7 eff. 01/30/2016.
Rules 51-2.1 B-C, 51-3.5, 51-3.9 H, 51-3.13, 51-3.24.K-L, 51-3.31, 51-3.32, Rule 3.33, 51-4.5, 51-4.8, 51-4.3(IA) J, 51-4.4(IA) J, 51-4.6(IA) 19, 51-4.6(IA) E.4, 51-4.7(IA), 51-4.8(IA) R, 51-4.11(IA), 51-4.12(IA), 51-4.13(IA), 51-4.14(IA), 51-4.15(IA), Chapter 6, rule 51-9.3 eff. 07/15/2017.
Rules 51-2.1, 51-3.13 C, 51-3.20.E, 51-3.22.C, 51-3.23.A.3, 51-3.24.F, 51-3.24.M, 51-3.27, 51-3.29.A.2, 51-4.3.F-G, 51-4.4(IA) F, 51-4.6(IA) A.19, 51-4.7(IA), 51-4.10(IA) B.2.b.ii, 51-4.11(IA).F, 51-4.13(IA) A.4, 51-4.13(IA) B.2.a, 51-6.10 A, 51-6.3 B.9, 51-6.3 D.9 eff. 07/31/2018. Rules 51-4.9(IA), 51-4.11(IA).I repealed eff. 07/31/2018.
Rules 51-3.34, 51-3.35, 51-3.36, Forms DT-1, DT-2 emer. rules eff. 08/02/2019; expired 11/30/2019.
Rules 51-3.34, 51-3.35, 51-3.36, 51-4.3 K, 51-4.6.1, 51-4.7 G, 51-4.4(IA) E, 51-4.4(IA) I, 51-4.6(IA) A.6, 51-4.6(IA) A.8, 51-4.6(IA) A.10, 51-4.6(IA) 15-21, 51-4.7(IA) A, 51-4.8(IA) Introduction, 51-4.8(IA) O, 51-4.8(IA) V-X, 51-4.9(IA), 51-4.10(IA) B.2.a-b, 51-4.13(IA) A-B.1, 51-6.5 A, Forms DT-1, DT-2 eff. 12/15/2019. Rule 51-3.5 repealed eff. 12/15/2019.
Rules 51-3.27, 51-4.7 J, 51-4.8(IA) Y, 51-6.3 D.4 eff. 03/30/2020.
Entire rule eff. 03/30/2023.

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