Wednesday, November 17, 2010

Colorado Adopts BD, Sales Rep. and IA/IAR Rule Amendments

Adding new solicitation and custody rules for investment advisers, modifying licensing exam requirements for sales and investment adviser representatives, providing a time frame for abandoning licensing applications, and changing NASD to FINRA to reflect the current name of the organization were the amendments adopted by the Colorado Securities Division, effective 11-30-2010.

For more information, please see