Small Cap Registration
Broker/Dealer Requirements: Dealers must be registered with the state using a Form BD or a Form U-4.
Filing Fees: $100 made out to the Colorado State Treasurer.
Relevant
Statute:
Forms: For SCOR registration: U-7, Form RQ, Forms U-2 and
U-2A, Western Review Request Form (optional), Forms A&B.
Date Last Modified:08/20/96
Regulatory Contact:
Contact:
Division of Securities
Address:
1580 Lincoln Street, Suite 420
Denver, CO 80203
Phone:
(303) 894-2320
Fax:
(303) 861-2126
Email:
securities@dora.state.co.us
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