BD- Colorado Broker-Dealer Agent Email Registration Rule

The CO Broker-Dealer Agent Email Registration Rule highlights the steps necessary to file the business email address of broker-dealer agents with the Securities Commissioner of the State of Colorado pursuant to Colorado Securities Act Rule 51-4.3(K). Members also downloaded Colorado FINRA Broker-Dealer and Broker-Dealer Agent Registration Requirements or Colorado Broker-Dealer and Broker-Dealer Agent Registration Fees or Colorado Broker-Dealer Cybersecurity Checklist and Rules.

Version/Update: V.U/07/2017

Total Page Count/Format: 1/.pdf