Division of Securities DORA State of Colorado Division of Securities

Applications for Securities Registrations and Exemptions

 

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Registration by Coordination (Federal 1933 Act Registrations)
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Mutual Funds and Unit Investment Trusts
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Municipal Bond Exemption Form (requires Adobe Reader)
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Exempt Private placements
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Small Public Offerings
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Viatical Securities Investments
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How to Research Old Stock Certificates

The Division suggests that all persons who wish to raise money by offering and selling securities visit the following Securities and Exchange Commission (SEC) web site for Federal Rules and Guidelines regarding the offer and sale of securities: http://www.sec.gov/info/smallbus/qasbsec.htm

You may request further information regarding securities registrations or exemptions via e-mail to the link found below.

or call the Securities Registration Section at 303-894-2320 or

by U.S. Mail to:

Colorado Division of Securities
1560 Broadway, Suite 900
Denver, CO 80202.

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