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Code of Colorado Regulations eDocket
Official Publication of the State Administrative Rules (24-4-103(11) C.R.S.)

Details of Tracking Number  2008-00936

CCR details

Tracking Number 2008-00936
Type of Filing Permanent Rule
Department 700 Department of Regulatory Agencies
Agency 704 Division of Securities
CCR Number 3 CCR 704-1

Proposed rule

Notice Filed with SOS 08/28/2008
Rule ProposedRuleAttach2008-00936.RTF
Additional Information AddInfoAttach2008-00936.DOC
Statutory Authority Section 11-51-704
Description of Subjects/Issues The public hearing is being held to revise Rule 51-3.5 concerning the filing requirements for the Investment Company Exemption under ? 11-51-307(1)(k), and Rule 51-3.7 concerning the new SEC requirement that Form D be filed electronically. Additionally, the hearing will involve the implementation of the NASAA Model Rule on the use of senior specific certifications and professional designations.
Purpose/Objective of Rule Rule 51-3.5 is being revised to meet the filing requirements for the Investment Company Exemption under secton 11-51-307(1)(k). Rule 51-3.7 is being revised to meet the new SEC requirment that Form D be filed electronically. And Rule 51-4.7 and 4.8(IA) are being modified to implement the NASAA Model Rule on senior designations.
Basis And Purpose BasisandPurposeAttachment2008-00936.DOC
Submitted in response to issues raised by COLS/OLLS? No
Is this rule adopted in response to recent legislation?
Hearing Date 10/03/2008
Hearing Time 09:00 AM
Hearing Location Division of Securities, 1560 Broadway, 9th Floor, Conference Room 900, Denver, CO 80202
Contact Name Gerald Rome
Contact Title Deputy Securities Commissioner
Contact Telephone 303-894-2520
Contact email gerald.rome@dora.state.co.us

Adopted rule

Adopted Rules AdoptedRules02008-00936.RTF
Adopted Date 10/03/2008
AGO requested date 10/07/2008
Attorney General Opinion 10/20/2008
Effective Date 12/01/2008
Inserted into CCR 11/26/2008