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U.S. State Codes
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Colorado
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Title 11 - Financial Instit...
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Securities
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Article 51 - Securities
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Part 4 - Licensing and Regulation of Broker-Dea...
Part 4 - Licensing and Regulation of Broker-Dealers and Sales Representatives
§ 11-51-401. Licensing and notice filing requirements
§ 11-51-402. Exempt broker-dealers, sales representatives - sanctions - exempt investment advisers and investment adviser representatives
§ 11-51-403. Application for license - notice filing requirements
§ 11-51-404. License and notice fees
§ 11-51-405. Examinations and alternate qualifications
§ 11-51-406. General provisions
§ 11-51-407. Operating requirements
§ 11-51-408. Licensing of successor firms
§ 11-51-409. Access to records
§ 11-51-409.5. Mandatory disclosure - investment advisers and investment adviser representatives
§ 11-51-410. Denial, suspension, or revocation
§ 11-51-411. Abandonmentof license
§ 11-51-412. Withdrawal