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Colorado Division of Securities Library

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  • IA- Colorado Investment Adviser Uniform Surety Bond Form U-SB

    IA- Colorado Investment Adviser Uniform Surety Bond Form U-SB

    IA- Colorado Investment Adviser Uniform Surety Bond Form U-SB

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  • IA- Colorado Investment Adviser Cybersecurity Checklist and Rules

    IA- Colorado Investment Adviser Cybersecurity Checklist and Rules

    IA- Colorado Investment Adviser Cybersecurity Checklist and Rules

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  • CO- Colorado Registration by Coordination Closing Report Form-RC-C

    CO- Colorado Registration by Coordination Closing Report Form-RC-C

    CO- Colorado Registration by Coordination Closing Report Form-RC-C

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  • CO- Colorado Notice of Claim of Exemption from Lic. of Certain Digital Tokens Form DT-2

    CO- Colorado Notice of Claim of Exemption from Lic. of Certain Digital Tokens Form DT-2

    CO- Colorado Notice of Claim of Exemption from Lic. of Certain Digital Tokens Form DT-2

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  • CO- Colorado Notice of Claim of Exemption from Reg. for Certain Digital Tokens Form DT-1

    CO- Colorado Notice of Claim of Exemption from Reg. for Certain Digital Tokens Form DT-1

    CO- Colorado Notice of Claim of Exemption from Reg. for Certain Digital Tokens Form DT-1

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  • BD- Colorado Broker-Dealer Uniform Surety Bond Form U-SB

    BD- Colorado Broker-Dealer Uniform Surety Bond Form U-SB

    BD- Colorado Broker-Dealer Uniform Surety Bond Form U-SB

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  • CO- Colorado Application for Registration by Qualification Form-RQ

    CO- Colorado Application for Registration by Qualification Form-RQ

    CO- Colorado Application for Registration by Qualification Form-RQ

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  • CO- Colorado Uniform Consent to Service of Process Form U-2

    CO- Colorado Uniform Consent to Service of Process Form U-2

    CO- Colorado Uniform Consent to Service of Process Form U-2

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  • CO- Colorado Application for Limited Offering Registration Form-RL

    CO- Colorado Application for Limited Offering Registration Form-RL

    CO- Colorado Application for Limited Offering Registration Form-RL

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  • CO- Colorado Uniform Investment Company Notice Filing Form-NF

    CO- Colorado Uniform Investment Company Notice Filing Form-NF

    CO- Colorado Uniform Investment Company Notice Filing Form-NF

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  • CO- Colorado Impound of Funds Agreement Escrow Form

    CO- Colorado Impound of Funds Agreement Escrow Form

    CO- Colorado Impound of Funds Agreement Escrow Form

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  • CO- Colorado Notice of Proposed Release of Funds from Escrow Form ES-CF

    CO- Colorado Notice of Proposed Release of Funds from Escrow Form ES-CF

    CO- Colorado Notice of Proposed Release of Funds from Escrow Form ES-CF

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  • CO- Colorado Notice of Proposed Release of Funds from Escrow Form-ES

    CO- Colorado Notice of Proposed Release of Funds from Escrow Form-ES

    CO- Colorado Notice of Proposed Release of Funds from Escrow Form-ES

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  • CO- Colorado Crowdfunding Disclosure Document Form CF-2

    CO- Colorado Crowdfunding Disclosure Document Form CF-2

    CO- Colorado Crowdfunding Disclosure Document Form CF-2

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  • CO- Colorado Notification of Intention to Issue Securities Form CF-1

    CO- Colorado Notification of Intention to Issue Securities Form CF-1

    CO- Colorado Notification of Intention to Issue Securities Form CF-1

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  • IA- Colorado Investment Adviser Representative Affidavit of Eligibility Form U-AE

    IA- Colorado Investment Adviser Representative Affidavit of Eligibility Form U-AE

    IA- Colorado Investment Adviser Representative Affidavit of Eligibility Form U-AE

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  • IA- Colorado Investment Adviser Representative Email Registration Rule

    IA- Colorado Investment Adviser Representative Email Registration Rule

    IA- Colorado Investment Adviser Representative Email Registration Rule

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  • IA- Colorado Investment Adviser and Investment Adviser Rep. Registration Fees

    IA- Colorado Investment Adviser and Investment Adviser Rep. Registration Fees

    IA- Colorado Investment Adviser and Investment Adviser Rep. Registration Fees

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  • IA- Colorado Investment Adviser and IA Rep. Registration Requirements

    IA- Colorado Investment Adviser and IA Rep. Registration Requirements

    IA- Colorado Investment Adviser and IA Rep. Registration Requirements

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  • BD- Colorado Broker-Dealer Cybersecurity Checklist and Rules

    BD- Colorado Broker-Dealer Cybersecurity Checklist and Rules

    BD- Colorado Broker-Dealer Cybersecurity Checklist and Rules

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  • BD- Colorado Broker-Dealer and Broker-Dealer Agent Registration Fees

    BD- Colorado Broker-Dealer and Broker-Dealer Agent Registration Fees

    BD- Colorado Broker-Dealer and Broker-Dealer Agent Registration Fees

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  • BD- Colorado Non- FINRA Broker-Dealer and Broker-Dealer Agent Registration Requirements

    BD- Colorado Non- FINRA Broker-Dealer and Broker-Dealer Agent Registration Requirements

    BD- Colorado Non- FINRA Broker-Dealer and Broker-Dealer Agent Registration Requirements

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  • BD- Colorado Broker-Dealer Agent Email Registration Rule

    BD- Colorado Broker-Dealer Agent Email Registration Rule

    BD- Colorado Broker-Dealer Agent Email Registration Rule

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  • BD- Colorado FINRA Broker-Dealer and Broker-Dealer Agent Registration Requirements

    BD- Colorado FINRA Broker-Dealer and Broker-Dealer Agent Registration Requirements

    BD- Colorado FINRA Broker-Dealer and Broker-Dealer Agent Registration Requirements

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