Regulatory Agencies - Securities

State of Colorado

Official Website: https://securities.colorado.gov/

Forms & Documents

Browse all Regulatory Agencies - Securities government forms

1 - 20 of 29 forms

Form Title Topics
AFFIDAVIT OF ELIGIBILITY
APPENDIX A---Post-Sale Viatical Disclosure Document
FORM ADV (Paper Version) UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
FORM ADV (Paper Version) UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION
FORM ADV (Paper Version) • UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND • REPORT BY EXEMPT REPORTING ADVISERS
FORM ADV-W (Paper Version) NOTICE OF WITHDRAWAL FROM REGISTRATION AS AN INVESTMENT ADVISER Instructions for Form ADV-W
Form BD Uniform Application for Broker-Dealer Registration
Form CF-1 Notification of Intention to Issue Securities Pursuant to Section 11-51-308.5
Form CF-3 Notification of Intention to Act as On-Line Intermediary for an Offering Pursuant to Section 11-51-308.5
Form CF-4 Annual Financial Disclosure of On-Line Intermediary
FORM ES-CF NOTICE OF PROPOSED RELEASE OF FUNDS FROM ESCROW
FORM RC-C Registration by Coordination Closing Report
FORM RL APPLICATION FOR LIMITED OFFERING REGISTRATION
FORM RQ APPLICATION FOR REGISTRATION BY QUALIFICATION
FORM RQV APPLICATION FOR REGISTRATION Of VIATICAL INVESTMENTS
FORM ST EXEMPTION FOR CERTAIN NON-ISSUER DISTRIBUTIONS UNDER SECTION 11-51-308(1)(b)(V), C.R.S.
FORM U-2 UNIFORM CONSENT TO SERVICE OF PROCESS
FORM U-7
FORM U-7 DISCLOSURE DOCUMENT
IMPOUND OF FUNDS AGREEMENT

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