Keywords:
Bonds
Broker Dealer
Brokerage
Investment Banker
Stockbroker
| Federal |
U.S. Securities and Exchange Commission
Division of Investment Management
1801 California Street, Suite 4800
Denver , CO 80202
(303)844-1000
(202)942-0691 |
| For PUBLIC offering of a security: |
| All sales are registered; Must register the individual selling the securities; There are disclosure statements and reporting requirements; Exemptions available. |
| For filing fees, contact SEC. |
|
| Association |
National Association of Securities Dealers
370 17th Street, Suite 2900
Denver , CO 80202
(303)446-3100
Fax: (303)620-9450 |
| Industry is largely self-regulated through this trade association. |
| To be licensed with N.A.S.D. must first have a brokerage firm sponsor you, and then you can take the exam. |
| REGISTERED SECURITIES REPRESENTATIVE: Persons associated with a member, including assistant officers other than principals, who are engaged in the investment banking or securities business for the member including the functions of supervision, solicitation, or conduct of business in securities or who are engaged in the training of persons associated with a member for any of these functions, are designated as representatives. (Series 7 Examination) |
| NASD offers information on federal and state rules and regulations and NASD examinations.
Link: http://www.nasdr.com/qualifications.asp
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| State |
Colorado Department of Regulatory Agencies
Division of Securities
1560 Broadway, Suite 900
Denver , CO 80202
(303)894-2320
Fax: (303)861-2126 |
| ALL Brokerage firms and agents must be licensed through division. Mortgage brokers who deal with individuals instead of banks, and Investment Advisors, must also be licensed.
Link: http://www.dora.state.co.us/securities/brokers.htm
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| Division investigates securities fraud within state. |
| Securities issuers are exempt from being registered as dealers, but they must file each offering with the Division and pay: $50-$200 for a public offering; $75 for a private offering. |
| Several exams and licenses depending on specific securities being sold. All fees vary.
Link: http://www.dora.state.co.us/securities/feeschedule.htm
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| NOTE: See also MORTGAGE BUSINESS |
| NOTE: See also INVESTMENT ADVISOR/FINANCIAL PLANNER |
NOTE: The Colorado Division of Securities is not able to determine the value of stock certificates. Such information is not available to the Division and the staff will not be able to assist you. If your certificate states that the company was incorporated under the laws of the State of Colorado you may contact the Department of Corporations within the office of the Colorado Secretary of State or you may search their corporation database at the web address listed below.
http://www.sos.state.co.us |
Wednesday, July 18, 2012 – 18:42 pm
