| Notice Filed with SOS |
10/30/2014 |
| Rule |
ProposedRuleAttach2014-01130.pdf |
| Statutory Authority |
Sections 11-51-101, et seq., C.R.S., including parts 4 and 7. |
| Description of Subjects/Issues |
This amendment includes violations of certain FINRA Rules in the rule that delineates "unfair and dishonest dealings" for the purpose of section 11-51-410(1)(g), C.R.S. |
| Purpose/Objective of Rule |
The general purpose of the amendment to Rule 51-4.7 is to include prohibited conduct identified in certain FINRA Rules in the rule that delineates “unfair and dishonest dealings” for the purpose of section 11-51-410(1)(g), C.R.S. |
| Basis And Purpose |
BasisandPurposeAttachment2014-01130.pdf
|
| Submitted in response to issues raised by COLS/OLLS? |
No
|
| Is this rule adopted in response to recent legislation? |
No
|
| Hearing Date |
12/03/2014 |
| Hearing Time |
09:00 AM |
| Hearing Location |
Division of Securities, 1560 Broadway, Suite 900, Denver, CO 80202 |
| Contact Name |
Lillian Alves |
| Contact Title |
Deputy Securities Commissioner |
| Contact Telephone |
303-894-2320 |
| Contact email |
lillian.alves@state.co.us |