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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  2014-01130

CCR details

Tracking Number 2014-01130
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 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

Adopted rule

Adopted Rules AdoptedRules02014-01130.RTF
Redline Redline2014-01130.rtf
Adopted Date 12/17/2014
AGO requested date 12/17/2014
Attorney General Opinion 12/23/2014
Colorado Register publication date 01/10/2015
Effective Date 01/30/2015
Inserted into CCR 01/13/2015