Division of Securities Division of Securities State of Colorado DORA

Public Notices

 

December 2, 2011

Notice of Public Meeting

A meeting of the Colorado Securities Board will be held at 9:30 am on Friday, December 2, 2011 at the Colorado Division of Banking Conference Room, 1560 Broadway, Suite 975, Denver, Colorado 80202.

 

September 28, 2011

Notice of Public Meeting

A meeting of the Colorado Securities Board will be held at 9:30 am on Wednesday, September 28, 2011 at the Colorado Division of Banking Conference Room, 1560 Broadway, Suite 975, Denver, Colorado 80202.

 

August 1, 2011

A meeting of the Colorado Securities Board will be held at 912:00 am on Monday, August 1, 2011 at the Colorado Division of Banking Conference Room, 1560 Broadway, Suite 975, Denver, Colorado 80202.

 

June 17, 2011

Notice of Public Meeting

A meeting of the Colorado Securities Board will be held at 9:30 am on Friday, June 17, 2011 at the Colorado Division of Banking Conference Room, 1560 Broadway, Suite 975, Denver, Colorado 80202.

 

March 17, 2011

In the matter of MIEKA et al:

A meeting of the Colorado Securities Board will be held at 9:30 am on Thursday March 17th, 2011.  The hearing will take place in conference room 110A at 1560 Broadway, Denver Colorado 80202.

 

March 2, 2011

NOTICE OF ELECTRONIC FILING REQUIREMENT FOR EXISTING COLORADO INVESTMENT ADVISERS

February 28, 2011

NOTICE OF ELECTRONIC FILING REQUIREMENT FOR NEW INVESTMENT ADVISER APPLICATIONS

March 4, 2011 A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, March 4, 2011 at the Colorado Division of Banking Conference Room, 1560 Broadway, Suite 975, Denver, Colorado 80202.
December 10, 2010

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, December 10, 2010 at the Colorado Division of Banking Conference Room, 1560 Broadway, Suite 975, Denver, Colorado 80202.

 

September 17, 2010

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, September 17, 2010 at the Colorado Division of Banking Conference Room, 1560 Broadway, Suite 975, Denver, Colorado 80202.

 

September 13, 2010

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Monday, September 13, 2010.  The meeting will take place in the conference room of D.A. Davidson & Company, 1600 Broadway, Suite 1100, Denver, Colorado 80202.

 

June 18, 2010

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, June 18, 2010 at the Colorado Division of Banking Conference Room, 1560 Broadway, Suite 975, Denver, Colorado 80202.

 

March 15, 2010

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Monday, March 15, 2010.  The meeting will take place in the conference room of D.A. Davidson & Company, 1600 Broadway, Suite 1100, Denver, Colorado 80202.

 

March 5, 2010

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, March 5, 2010 at the Colorado Division of Securities, 1560 Broadway, Suite 900, Denver, Colorado 80202.

 

December 4, 2009

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, December 4, 2009 at the Colorado Division of Securities, 1560 Broadway, Suite 900, Denver, Colorado 80202.

 

September 22, 2009

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Tuesday, September 22, 2009. The meeting will take place in the conference room of the Colorado Division of Securities, 1560 Broadway, Suite 900, Denver, Colorado 80202.

(Note: See Amended Notice)

 

September 18, 2009

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, September 18, 2009 at the Colorado Division of Securities, 1560 Broadway, Suite 900, Denver, Colorado 80202.

 

June 19, 2009

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, June 19, 2009 at the Colorado Division of Securities, 1560 Broadway, Suite 900, Denver, Colorado 80202.

 

March 13, 2009

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, March 13, 2009 at the Colorado Division of Securities, 1560 Broadway, Suite 900, Denver, Colorado 80202.

 

March 9, 2009

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Monday, March 9, 2009 in the conference room of D.A. Davidson and Company, 1600 Broadway, Suite 1100, Denver, Colorado 80202.

 

December 12, 2008

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, December 12, 2008 at the Colorado Division of Securities, 1560 Broadway, Suite 900, Denver, Colorado 80202.

 

September 8, 2008

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Monday, September 8, 2008 in the conference room of D.A. Davidson and Company, 1600 Broadway, Suite 1100, Denver, Colorado 80202.

 

September 5, 2008

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, September 5, 2008 at the Colorado Division of Securities, 1560 Broadway, Suite 900, Denver, Colorado 80202.

 

June 9, 2008

A meeting of the Colorado Securities Board will be held at 9:00 am on Monday, June 9, 2008 at the Colorado Division of Securities, 1560 Broadway, Suite 900, Denver, Colorado 80202.

 

March 17, 2008

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Monday, September 17, 2008. The meeting will take place in the conference room of D.A. Davidson & Company, 1600 Broadway, Suite 1100, Denver, Colorado 80202.

 

March 7, 2008 A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, March 7, 2008 at the Colorado Division of Securities, 1560 Broadway, Suite 900, Denver, Colorado 80202.
September 17, 2007

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Monday, September 17, 2007. The meeting will take place in the conference room of D.A. Davidson & Company, 1600 Broadway, Suite 1100, Denver, Colorado 80202.

 

September 14, 2007

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, September 14, 2007 at the Colorado Division of Securities, 1560 Broadway, Suite 900, Denver, Colorado 80202.

 

September 6, 2007

IN THE MATTER OF WORTHAM OIL & GAS ENTERPRISES, LLC, PAUL A. BURNS AND WAYNE K. WEST

A meeting of the Colorado Securities Board will be held at 9:00 a.m. on Thursday, September 6, 2007, at 1560 Broadway, 9TH Floor Hearing Room, Denver, Colorado, 80202.

 

June 11, 2007

A meeting of the Colorado Securities Board will be held at 9:00 am on Monday, June 11, 2007 at the Colorado Division of Securities, 1560 Broadway, Suite 900, Denver, Colorado 80202.

 

March 7, 2007

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Wednesday, March 7, 2007. The meeting will take place in the conference room of D.A. Davidson & Company, 1600 Broadway, Suite 1100, Denver, Colorado 80202.

 

March 5, 2007

A meeting of the Colorado Securities Board will be held at 9:00 am on Monday, March 5, 2007 at the Colorado Division of Securities, 1560 Broadway, Suite 900, Denver, Colorado 80202.

 

December 1, 2006

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, December 1, 2006 at the Colorado Division of Securities, 1560 Broadway, Suite 900, Denver, Colorado 80203.

 

September 13, 2006

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Wednesday, September 13, 2006. The meeting will take place in the conference room of Kirkpatrick Pettis at 1600 Broadway, Suite 1100, Denver, Colorado 80202.

 

June 23, 2006

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, June 23, 2006 at the Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, CO 80202.

 

May 22, 2006

A meeting of the Colorado Securities Board will be held at 9:00 a.m. on May 22, 2006, at the Colorado Division of Banking conference room, 1560 Broadway, Suite 1175, Denver, CO 80202, to conduct a hearing on the Order to Show Cause directed to Mark Lebowitz, Onesource Financial Group, LLC, and Alex Roderick.

 

March 10, 2006

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, March 10, 2006 at the Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, CO 80202.

 

March 6, 2006

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Monday, March 6, 2006. The meeting will take place in the conference room of Kirkpatrick Pettis at 1600 Broadway, Suite 1100, Denver, Colorado 80202.

 

December 2, 2005

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, December 2, 2005 at the Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, CO 80202.

 

September 23, 2005

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, September 23, 2005 at the Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, CO 80202.

 

September 19, 2005

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Monday, September 19, 2005. The meeting will take place in the conference room of Kirkpatrick Pettis at 1600 Broadway, Suite 1100, Denver, Colorado 80202.

 

June 13, 2005

A meeting of the Colorado Securities Board will be held at 9:00 am on Monday, June 13, 2005 at the Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, CO 80202.

 

March 14, 2005

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Monday, March 14, 2005. The meeting will take place in the conference room of Kirkpatrick Pettis at 1600 Broadway, Suite 1100, Denver, Colorado 80202.

 

March 11, 2005

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, March 11, 2005 at the Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, CO 80202.

 

December 6, 2004

A meeting of the Colorado Securities Board will be held at 9:00 am on Monday, December 6, 2004 at the Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, CO 80202.

 

October 18, 2004

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Monday, October 18, 2004. The meeting will take place in the conference room of Kirkpatrick Pettis at 1600 Broadway, Suite 1100, Denver, Colorado 80202.

 

September 27, 2004 NOTICE OF TEMPORARY RULE
COLORADO DIVISION OF SECURITIES

September 10, 2004

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, September 10, 2004 at the Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, CO 80202.

 

August 3, 2004

A meeting of the Colorado Securities Board will be held at 9:00 a.m. on August 3, 2004, at the Colorado Division of Banking Conference Room, 1560 Broadway, Suite 1175, Denver, Colorado 80202.

 

June 28, 2004

NOTICE OF TEMPORARY RULE
COLORADO DIVISION OF SECURITIES
Rule 51-3.1 has changed.

 

June 11, 2004

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, June 11, 2004 at the Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, CO 80202.

 

June 9, 2004

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Wednesday, June 9, 2004. The meeting will take place in the conference room of Kirkpatrick Pettis at 1600 Broadway, Suite 1100, Denver, Colorado 80202.

 

April 8, 2004

A meeting of the Colorado Securities Board will be held at 9:00 am on Thursday, April 8, 2004 via conference call at the Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, Colorado 80203.

 

March 12, 2004

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, March 12, 2004 at the law offices of Kamlet, Shepherd & Reichert, 1400 16th Street, Suite 250, Denver, Colorado 80202.

 

March 2, 2004

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Tuesday, March 2, 2004.

 

December 5, 2003

 

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, December 5, 2003.

December 3, 2003

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Wednesday, December 3, 2003.

 

September 10, 2003

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Wednesday, September 10, 2003.

 

September 9, 2003

A meeting of the Colorado Securities Board will be held at 10:00 a.m. on Tuesday, September 9, 2003. A Hearing on the Orders to Show Cause Directed to Shelman Securities Corporation and Ernst H. Behr and EHB Resources, LLC will be conducted.

September 5, 2003

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, September 5, 2003.

 

June 6, 2003

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, June 6, 2003.

 

June 3, 2003

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Tuesday, June 3, 2003.

 

March 7, 2003

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, March 7, 2003.

 

February 25, 2003

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Tuesday, February 25, 2003.

 

December 6, 2002

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, December 6, 2002

 

December 3, 2002

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Tuesday, December 3, 2002.

 

September 11, 2002

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Wednesday, September 11, 2002.

September 6, 2002

A meeting of the Colorado Securities Board will be held at 9:00 am on September 6, 2002 at the Colorado Division of Banking Conference Room at 1560 Broadway, Suite 1175, Denver, Colorado 80202.

June 14, 2002 Hearing on the Order to Show Cause Directed to Beneficial Assurance, Ltd. DBA Beneficial Assistance, Inc., Fidelity Assurance Associates, LLC, U.S. Financial Resources, Inc., Nationwide Consultants, Inc., Robert Broege, Eric Ager, Richard Guilford, and Brad C. Thompson
June 14, 2002 A meeting of the Colorado Securities Board will be held at 8:30 am on Friday, June 14, 2002 in the conference room of the Colorado Division of Banking at 1560 Broadway, Suite 1175, Denver, Colorado 80202.
June 10, 2002

A meeting of the Colorado Municipal Bond Supervision Advisory Board

June 5, 2002

Hearing on the Order to Show Cause Directed to Heartland Energy, Inc., Charles Reed Cagle, and Stanley Rose.

May 30, 2002

Mandating Notice of IARD/CRD Electronic Filing Requirement

March 15, 2002

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, March 15, 2002.

March 11, 2002

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Monday, March 11, 2002.

February 19, 2002

Hearing on the Order to Show Cause Directed to Norstar Communications, Inc., James McKibbin, and Thomas Rabion.

December 7, 2001

Hearing on the Order to Show Cause Directed to International Business Consortium, Inc. and William Lester Brotherton, Sr.

December 7, 2001

Colorado Securities Board Meeting

December 3, 2001

Colorado Municipal Bond Supervision Advisory Board Meeting

 

 

NOTICE OF PUBLIC MEETING

M E M O R A N D U M

TO: The Party Addressed

FROM: Fred J. Joseph
Securities Commissioner

DATE: November 19, 2001

SUBJECT: Colorado Municipal Bond Supervision Advisory Board
_________________________________________________________________

This Memorandum is to notify interested parties that the next meeting of the full Colorado Municipal Bond Supervision Advisory Board will be held Monday, December 3, 2001, at 12:00 noon. The meeting will take place in the conference room of Kirkpatrick Pettis at 1600 Broadway, Suite 1100, Denver, Colorado.

Should you have any questions concerning this matter, or would like to receive an agenda for the meeting, please contact me at the above address or directly at (303) 894-2320.

****************************

 

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:00 am on December 7, 2001 at the Colorado Division of Banking Conference Room at 1560 Broadway, Suite 1175, Denver, Colorado 80202.


Agenda

1. Introduction

2. Approval of board minutes from previous meeting

3. Report on Division activities

4. Other business

5. Schedule date and time for next meeting

6. Adjournment

Dated at Denver, Colorado this 16th day of November, 2001


FOR THE SECURITIES BOARD


By: ____/s/______________________
Fred J. Joseph
Securities Commissioner

****************************

 

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 10:30 a.m. on December 7, 2001, at the Colorado Division of Banking Conference Room, 1560 Broadway, Suite 1175, Denver, Colorado 80202.

The purpose of the meeting shall be as follows:

1. Hearing on the Order to Show Cause Directed to International Business Consortium, Inc. and William Lester Brotherton, Sr. issued by the Securities Commissioner on November 21, 2001, in Division of Securities Case No. 01-CD-01, pursuant to section 11-51-606(1.5), C.R.S. (2001).


Dated at Denver, Colorado this _23rd__ day of November, 2001.


FOR THE SECURITIES BOARD

By: ________/s/________________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:00 am on Tuesday, February 19, 2002 at the Colorado Department of Regulatory Agencies Conference Room, 1560 Broadway, Suite 1550, Denver, Colorado 80202.

The purpose of the meeting shall be as follows:

1. Hearing on the Order to Show Cause Directed to Norstar Communications, Inc., James McKibbin, and Thomas Rabion issued by the Securities Commissioner on February 4, 2001, in the Colorado Division of Securities Case No. XY-02-CD-02, pursuant to section 11-51-606(1.5), CRS (2001).

Dated at Denver, Colorado this 6th of February, 2002.


FOR THE SECURITIES BOARD


By: _______/s/__________________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Monday, March 11, 2002. The meeting will take place in the conference room of Kirkpatrick Pettis at 1600 Broadway, Suite 1100, Denver, Colorado 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities

IV. Other business

V. Schedule date and time for next meeting

VI. Adjournment

Dated at Denver, Colorado this 25th day of February, 2002.

For the Municipal Bond Supervision Advisory Board


By: _______/s/___________________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, March 15, 2002 in the conference room of the Colorado Division of Banking at 1560 Broadway, Suite 1175, Denver, Colorado 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities

IV. Other business

V. Schedule date and time for next meeting

VI. Adjournment

Date at Denver, Colorado this 25th day of February, 2002.

FOR THE SECURITIES BOARD


By: ________/s/_________________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:00 a.m. on Wednesday, June 5, 2002, at the Colorado Division of Banking Conference Room, 1560 Broadway, Suite 1175, Denver, Colorado 80202.

The purpose of the meeting shall be as follows:

1. Hearing on the Order to Show Cause Directed to Heartland Energy, Inc., Charles Reed Cagle, and Stanley Rose issued by the Securities Commissioner on May 15, 2002, in Division of Securities Case No. XY 02-CD-03, pursuant to section 11-51-606(1.5), C.R.S. (2001).


Dated at Denver, Colorado this 20th day of May, 2002.


FOR THE SECURITIES BOARD

By: ________/s/________________
Fred J. Joseph Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Monday, June 10, 2002. The meeting will take place in the conference room of Kirkpatrick Pettis at 1600 Broadway, Suite 1100, Denver, Colorado 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities and legislative update

IV. Other business

V. Schedule date and time for next meeting

VI. Adjournment

Dated at Denver, Colorado this 27th day of May, 2002.

For the Municipal Bond Supervision Advisory Board


By: _________/s/_________________
Fred J. Joseph
Securities Commissioner
********************************

Mandating Notice of IARD/CRD Electronic Filing Requirement

May 30, 2002

NOTICE OF ELECTRONIC FILING REQUIREMENTS

Pursuant to Colorado's Rule 51-4.1 (IA) effective on July 31, 2001, the Securities Commissioner may require electronic submissions of forms from federal covered advisers (FCAs), state-registered investment advisers (IAs) and investment adviser representatives at such time as the Investment Adviser Registration Depository (IARD) provides for receipt of filings and fees for such forms. The 4.0 release of the Central Registration Depository ("CRD") in March 2002 enables FCA and IA firms to apply for registration for their investment adviser representatives (noted in the computer system and on the forms as "RAs") electronically through CRD using the Form U-4 as well as to apply for withdrawal of registration for RAs through the electronic filing of the Form U-5. Now firms will be able to register RAs electronically and Colorado has been accepting voluntary electronic filings since March 2002.

Additionally, Rule 51-4.1(IA) requires that the Securities Commissioner provide 30 days notice of any new electronic submission requirement. As a result, and pursuant to Rule 51-4.1 (IA), you are hereby notified that the Colorado Securities Commissioner, as of June 30, 2002, mandates that investment adviser representative applications (Forms U-4 and U-5) be filed electronically via IARD/CRD and fees be paid to IARD/CRD.

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 8:30 am on Friday, June 14, 2002 in the conference room of the Colorado Division of Banking at 1560 Broadway, Suite 1175, Denver, Colorado 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities

IV. Other business - Election of Chair and Vice-Chair

V. Schedule date and time for next meeting

VI. Adjournment

Dated at Denver, Colorado this 29th day of May, 2002.

FOR THE SECURITIES BOARD


By: ___________/s/______________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:30 a.m. on June 14, 2002, at the Colorado Division of Banking Conference Room, 1560 Broadway, Suite 1175, Denver, Colorado 80202.

The purpose of the meeting shall be as follows:

1. Hearing on the Order to Show Cause Directed to Beneficial Assurance, Ltd. DBA Beneficial Assistance, Inc., Fidelity Assurance Associates, LLC, U.S. Financial Resources, Inc., Nationwide Consultants, Inc., Robert Broege, Eric Ager, Richard Guilford, and Brad C. Thompson issued by the Securities Commissioner on May 29, 2002, in Division of Securities Case No. 02-CD-04, pursuant to section 11-51-606(1.5), C.R.S. (2001).


Dated at Denver, Colorado this _____ day of June, 2002.


FOR THE SECURITIES BOARD

By: ________________________
Fred J. Joseph Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:00 am on September 6, 2002 at the Colorado Division of Banking Conference Room at 1560 Broadway, Suite 1175, Denver, Colorado 80202.


Agenda

1. Introduction

2. Approval of board minutes from previous meeting

3. Report on Division activities

4. Other business

5. Schedule date and time for next meeting

6. Adjournment

Dated at Denver, Colorado this 23rd day of August, 2002.


FOR THE SECURITIES BOARD


By: ______/s/____________________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Wednesday, September 11, 2002. The meeting will take place in the conference room of Kirkpatrick Pettis at 1600 Broadway, Suite 1100, Denver, Colorado 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities and update

IV. Other business

V. Schedule date and time for next meeting

VI. Adjournment

Dated at Denver, Colorado this 26th day of August, 2002.

For the Municipal Bond Supervision Advisory Board


By: __________/s/________________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Tuesday, December 3, 2002. The meeting will take place in the conference room of Kirkpatrick Pettis at 1600 Broadway, Suite 1100, Denver, Colorado 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities and update

IV. Other business

V. Schedule date and time for next meeting

VI. Adjournment

Dated at Denver, Colorado this 18th day of November, 2002.

For the Municipal Bond Supervision Advisory Board


By: ______/s/____________________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, December 6, 2002 in the conference room of the Colorado Division of Banking at 1560 Broadway, Suite 1175, Denver, Colorado 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities

IV. Other business

V. Schedule date and time for next meeting

VI. Adjournment

Dated at Denver, Colorado this 18th day of November, 2002.

FOR THE SECURITIES BOARD

By: ________/s/_________________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Tuesday, February 25, 2003. The meeting will take place in the conference room of Kirkpatrick Pettis at 1600 Broadway, Suite 1100, Denver, Colorado 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities and update

IV. Other business

V. Schedule date and time for next meeting

VI. Adjournment

Dated at Denver, Colorado this 6th day of February, 2003.

For the Municipal Bond Supervision Advisory Board


By: _____________________________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, March 7, 2003 in the conference room of the Colorado Division of Banking at 1560 Broadway, Suite 1175, Denver, Colorado 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities

IV. Other business

V. Schedule date and time for next meeting

VI. Adjournment

Dated at Denver, Colorado this 14th day of February , 2003.


FOR THE SECURITIES BOARD


By: _____/s/____________________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Tuesday, June 3, 2003. The meeting will take place in the conference room of Kirkpatrick Pettis at 1600 Broadway, Suite 1100, Denver, Colorado 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities and update

IV. Other business

V. Schedule date and time for next meeting

VI. Adjournment

Dated at Denver, Colorado this 13th day of May, 2003.

For the Municipal Bond Supervision Advisory Board


By: ___/s/__________________________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, June 6, 2003 in the conference room of the Colorado Division of Banking at 1560 Broadway, Suite 1175, Denver, Colorado 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities

IV. Other business

V. Schedule date and time for next meeting

VI. Adjournment

Dated at Denver, Colorado this 14th day of May , 2003.


FOR THE SECURITIES BOARD


By: _____/s/____________________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, September 5, 2003 in the conference room of the Colorado Division of Banking at 1560 Broadway, Suite 1175, Denver, Colorado 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities

IV. Other business

V. Election of Officers

VI. Schedule date and time for next meeting

VII. Adjournment

Dated at Denver, Colorado this 14th day of August, 2003.


FOR THE SECURITIES BOARD


By: _____/s/____________________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 10:00 a.m. on Tuesday, September 9, 2003, at the Colorado Division of Insurance Hearing Room B, 1560 Broadway, Suite 850, Denver, Colorado 80202.

The purpose of the meeting shall be as follows:

1. Hearing on the Order to Show Cause Directed to Shelman Securities Corporation issued by the Securities Commissioner on August 26, 2003, in Division of Securities Case No. 04-LS-09, pursuant to section 11-51-606(4), C.R.S. (2002).

2. Hearing on the Order to Show Cause Directed to Ernst H. Behr and EHB Resources, LLC issued by the Securities Commissioner on August 26, 2003, in Division of Securities Case No. 04-CD-01, pursuant to section 11-51-606(1.5), C.R.S. (2002).


Dated at Denver, Colorado this 26 day of August, 2003.


FOR THE SECURITIES BOARD

By: __________/s/______________
Fred J. Joseph Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Wednesday, September 10, 2003. The meeting will take place in the conference room of Kirkpatrick Pettis at 1600 Broadway, Suite 1100, Denver, Colorado 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities and update

IV. Other business

V. Schedule date and time for next meeting

VI. Adjournment

Dated at Denver, Colorado this 21st day of August, 2003.

For the Municipal Bond Supervision Advisory Board


By: ______/s/_______________________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Wednesday, December 3, 2003. The meeting will take place in the conference room of Kirkpatrick Pettis at 1600 Broadway, Suite 1100, Denver, Colorado 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities and update

IV. Other business

V. Schedule date and time for next meeting

VI. Adjournment

Dated at Denver, Colorado this 12th day of November, 2003.

For the Municipal Bond Supervision Advisory Board


By: ____ /s/____________________
Fred J. Joseph
Securities Commissioner

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NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, December 5, 2003 at the law offices of Kamlet, Shepherd & Reichert, 1400 16th Street, Suite 250, Denver, Colorado 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities

IV. Other business

V. Schedule date and time for next meeting

VI. Adjournment

Dated at Denver, Colorado this 17th day of November, 2003.


FOR THE SECURITIES BOARD


By: _____/s/____________________
Fred J. Joseph
Securities Commissioner

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NOTICE OF PUBLIC MEETING

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Tuesday, March 2, 2004. The meeting will take place in the conference room of Kirkpatrick Pettis at 1600 Broadway, Suite 1100, Denver, Colorado 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities and update

IV. Other business

V. Schedule date and time for next meeting

VI. Adjournment

Dated at Denver, Colorado this 18thth day of February, 2004.

For the Municipal Bond Supervision Advisory Board


By: ____ ___/s/_________________
Fred J. Joseph
Securities Commissioner
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NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, March 12, 2004 at the law offices of Kamlet, Shepherd & Reichert, 1400 16th Street, Suite 250, Denver, Colorado 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities

IV. Other business

V. Schedule date and time for next meeting

VI. Adjournment

Dated at Denver, Colorado this 19th day of February, 2004.


FOR THE SECURITIES BOARD


By: ________/s/_________________
Fred J. Joseph
Securities Commissioner
********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:00 am on Thursday, April 8, 2004 via conference call at the Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, Colorado 80203.

The purpose of the meeting is for the Securities Board to perform its annual evaluation of the Securities Commissioner for the preceding year in accordance with section 11-51-702.5(6)(b), C.R.S.

Note: This meeting will be held in executive session.


Dated at Denver, Colorado this 23rd day of March, 2004.


FOR THE SECURITIES BOARD


By: ________/s/_________________
Fred J. Joseph
Securities Commissioner

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NOTICE OF PUBLIC MEETING

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Wednesday, June 9, 2004. The meeting will take place in the conference room of Kirkpatrick Pettis at 1600 Broadway, Suite 1100, Denver, Colorado 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities and update

IV. Other business

V. Schedule date and time for next meeting

VI. Adjournment

Dated at Denver, Colorado this 18th day of May, 2004.

For the Municipal Bond Supervision Advisory Board


By: ____ ___/s/_________________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, June 11, 2004 at the Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, CO 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities

IV. Other business

V. Election of Officers

VI. Schedule date and time for next meeting

VII. Adjournment

Dated at Denver, Colorado this 18th day of May, 2004.


FOR THE SECURITIES BOARD


By: __________/s/_______________
Fred J. Joseph
Securities Commissioner

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NOTICE OF TEMPORARY RULE

NOTICE OF TEMPORARY RULE
COLORADO DIVISION OF SECURITIES


Notice is hereby given that on June 28, 2004, Fred J. Joseph, Securities Commissioner for the State of Colorado, repealed current permanent Rule 51-3.1, Registration by Filing, and adopted temporary Rule 51-3.1, Registration by Coordination, establishing procedures for the filing of registration statements by coordination under the Colorado Securities Act. The temporary rule is effective July 1, 2004.

The temporary rule was adopted pursuant to the Securities Commissioner's authority found in sections 11-51-303(1)(b)(IV) and (6) and 11-51-704, C.R.S, and section 24-4-103, C.R.S.

The Securities Commissioner adopted the temporary rule to provide procedures to address potential filings of registration statements that occur on or after July 1, 2004, and to provide an efficient and expedient method for registration by coordination. A public hearing concerning the adoption of permanent rules regarding registration by coordination is scheduled for August 10, 2004.

Copies of the temporary rule, and information relating to the rule, will be made available to any person at the Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, Colorado 80203, and on the Division's website found at http://www.dora.state.co.us/securities.

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NOTICE OF PUBLIC MEETING

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:00 a.m. on August 3, 2004, at the Colorado Division of Banking Conference Room, 1560 Broadway, Suite 1175, Denver, Colorado 80202.

The purpose of the meeting shall be as follows:

1. Hearing on the Order to Show Cause Directed to IQ Travel and Entertainment, Inc., IQ OEM, Inc., Ronald L. McLain and Constance L. McLain issued by the Securities Commissioner on July 16, 2004, in Division of Securities Case No. XY 04-CD-02, pursuant to section 11-51-606(1.5), C.R.S. (2003).


Dated at Denver, Colorado this 16th day of July, 2004.


FOR THE SECURITIES BOARD

By: __________/s/______________
Gerald Rome
Deputy Securities Commissioner

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NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, September 10, 2004 at the Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, CO 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities

IV. Other business

V. Election of Officers

VI. Schedule date and time for next meeting

VII. Adjournment

Dated at Denver, Colorado this 19th day of August, 2004.

FOR THE SECURITIES BOARD


By: ___________/s/______________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF TEMPORARY RULE

NOTICE OF TEMPORARY RULE
COLORADO DIVISION OF SECURITIES

Notice is hereby given that on September 27, 2004, Fred J. Joseph, Securities Commissioner for the State of Colorado, adopted temporary Rule 51-3.1, Registration by Coordination, establishing procedures for the filing of registration statements by coordination under the Colorado Securities Act. The temporary rule is effective October 1, 2004.

The temporary rule was adopted pursuant to the Securities Commissioner's authority found in sections 11-51-303(1)(b)(IV) and (6) and 11-51-704, C.R.S, and section 24-4-103, C.R.S.

The Securities Commissioner adopted the temporary rule to provide procedures to address potential filings of registration statements that occur on or after October 1, 2004. A temporary rule, Rule 51-3.1, Registration by Coordination, was originally adopted June 28, 2004, and made effective July 1, 2004. Pursuant to § 24-4-103(6), C.R.S.a temporary rule shall not have effect for more than three months from the adoption thereof. A public hearing concerning the adoption of permanent rules regarding registration by coordination is scheduled for October 5, 2004. Since the initial temporary rule is set to expire on September 30, 2004, a new temporary rule is necessary pending the adoption of a permanent rule to address potential filings of registration statements that occur on or after October 1, 2004.

Copies of the temporary rule, and information relating to the rule, will be made available to any person at the Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, Colorado 80203, and on the Division's website found at http://www.dora.state.co.us/securities.

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NOTICE OF PUBLIC MEETING

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Monday, October 18, 2004. The meeting will take place in the conference room of Kirkpatrick Pettis at 1600 Broadway, Suite 1100, Denver, Colorado 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities and update

IV. Discussion of proposed Rule 59-10.4

V. Other business

VI. Schedule date and time for next meeting

VII. Adjournment

Dated at Denver, Colorado this 5th day of October, 2004.

For the Municipal Bond Supervision Advisory Board


By: _______/s/_________________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:00 am on Monday, December 6, 2004 at the Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, CO 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities

IV. Other business

V. Schedule date and time for next meeting

VI. Adjournment

Dated at Denver, Colorado this 17th day of November, 2004.


FOR THE SECURITIES BOARD


By: _________/s/__________________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, March 11, 2005 at the Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, CO 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities

IV. Other business

V. Schedule date and time for next meeting

VI. Adjournment

Dated at Denver, Colorado this 25th day of February, 2005.


FOR THE SECURITIES BOARD


By: ____________/s/__________________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Monday, March 14, 2005. The meeting will take place in the conference room of Kirkpatrick Pettis at 1600 Broadway, Suite 1100, Denver, Colorado 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report of Division activities and update

IV. Other business

V. Schedule date and time for next meeting

VI. Adjournment

Dated at Denver, Colorado this 28th day of February 2005.


FOR THE SECURITIES BOARD


By: ____________/s/__________________
Fred J. Joseph
Securities Commissioner


********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:00 am on Monday, June 13, 2005 at the Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, CO 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities

IV. Other business

V. Election of Officers

VI. Schedule date and time for next meeting

VII. Adjournment

Dated at Denver, Colorado this 25th day of May, 2005.

FOR THE SECURITIES BOARD


By: ________/s/_________________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, September 23, 2005 at the Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, CO 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities

IV. Other business

V. Election of Officers

VI. Schedule date and time for next meeting

VII. Adjournment

Dated at Denver, Colorado this 31st day of August, 2005.

FOR THE SECURITIES BOARD


By: ___________/s/______________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Monday, September 19, 2005. The meeting will take place in the conference room of Kirkpatrick Pettis at 1600 Broadway, Suite 1100, Denver, Colorado 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities and update

IV. Other business

V. Schedule date and time for next meeting

VI. Adjournment

Dated at Denver, Colorado this 31st day of August, 2005.

For the Municipal Bond Supervision Advisory Board


By: ____ /s/ ____________________
Fred J. Joseph
Securities Commissioner

 

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NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, December 2, 2005 at the Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, CO 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities

IV. Other business

V. Schedule date and time for next meeting

VI. Adjournment

Dated at Denver, Colorado this 22nd day of November, 2005.

FOR THE SECURITIES BOARD


By: ______/s/_______________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, March 10, 2006 at the Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, CO 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities

IV. Other business

V. Schedule date and time for next meeting

VI. Adjournment

Dated at Denver, Colorado this 16th day of February, 2006.

FOR THE SECURITIES BOARD


By: _________/s/________________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Monday, March 6, 2006. The meeting will take place in the conference room of Kirkpatrick Pettis at 1600 Broadway, Suite 1100, Denver, Colorado 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities and update

IV. Other business

V. Schedule date and time for next meeting

VI. Adjournment

Dated at Denver, Colorado this 17th day of February, 2006.

For the Municipal Bond Supervision Advisory Board


By: ____ /s/ ____________________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, June 23, 2006 at the Colorado Division of Securities, 1580 Lincoln, Suite 420, Denver, CO 80202.

Agenda

I. Introduction

II. Approval of board minutes from previous meeting

III. Report on Division activities

IV. Other business

V. Schedule date and time for next meeting

VI. Adjournment

Dated at Denver, Colorado this 31st day of May, 2006.

FOR THE SECURITIES BOARD


By: _______/s/__________________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Municipal Bond Supervision Advisory Board will be held at 12:00 pm on Wednesday, September 13, 2006. The meeting will take place in the conference room of Kirkpatrick Pettis at 1600 Broadway, Suite 1100, Denver, Colorado 80202.

Agenda

1. Introduction

2. Approval of board minutes from previous meeting

3. Report on Division activities and update

4. Other business

5. Schedule date and time for next meeting

6. Adjournment

Dated at Denver, Colorado this 25th day of August, 2006.

For the Municipal Bond Supervision
Advisory Board


By: _______/s/________________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:00 am on Friday, December 1, 2006 at the Colorado Division of Securities, 1560 Broadway, Suite 900, Denver, Colorado 80203.

Agenda

1. Introduction

2. Approval of board minutes from previous meeting

3. Report on Division activities and update

4. Other business

5. Schedule date and time for next meeting

6. Adjournment

Dated at Denver, Colorado this 8th day of November, 2006.

FOR THE SECURITIES BOARD


By: ____ /s/ ____________________
Fred J. Joseph
Securities Commissioner

********************************

NOTICE OF PUBLIC MEETING

A meeting of the Colorado Securities Board will be held at 9:00 am on Monday, March 5, 2007 at the Colorado Division of Securities, 1560 Broadway, Suite 900, Denver, Colorado 80203.

Agenda

1. Introduction

2. Approval of board minutes from previous meeting

3. Report on Division activities and update

4. Other business

5. Schedule date and time for next meeting

6. Adjournment

Dated at Denver, Colorado this 14th day of February, 2007.

FOR THE SECURITIES BOARD


By: ____ /s/ ____________________
Fred J. Joseph
Securities Commissioner

 

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