Title 11, Financial Institutions
0 chapters · 699 sections in this title.
Colo. Rev. Stat. § 11-51-706 Consent to service of process
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(1) An applicant for licensing under this article, a person filing a registration statement under this article, and an issuer who proposes to offer in this state through an agent a security registered under this article shall file with the securities commissioner, in such form as…
Colo. Rev. Stat. § 11-51-707 Collection of fees - division of securities cash fund created - repeal
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(1) A fee payable under this article shall be deemed paid when the securities commissioner receives the payment. (2) The securities commissioner shall transmit all fees collected under this article, not including fees retained by contractors pursuant to contracts entered into in …
Colo. Rev. Stat. § 11-51-708 Administrative files
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(1) A document is filed when it is received by the securities commissioner. (2) The securities commissioner shall keep a register of all applications for licenses and registration statements which are or have ever been effective under this article and all orders which have been e…
Colo. Rev. Stat. § 11-51-801 Effective date of article
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This article shall be effective on and after July 1, 1990, subject to the provisions of section 11-51-802. Source: L. 90: Entire article R&RE, p. 738, � 1, effective July 1.
Colo. Rev. Stat. § 11-51-802 Savings provisions
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(1) Except as otherwise provided in this section, articles 51 and 52 of this title, as said articles existed prior to July 1, 1990, exclusively govern all suits, actions, prosecutions, or proceedings which are pending or may be initiated on the basis of facts or circumstances occ…
Colo. Rev. Stat. § 11-51-803 Repeal of article
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(1) This article is repealed, effective September 1, 2026. (2) Prior to such repeal, the division of securities shall be reviewed as provided for in section 24-34-104, C.R.S. Source: L. 90: Entire article R&RE, p. 740, � 1, effective July 1. L. 91: Entire section amended, p. 678,…
Colo. Rev. Stat. § 11-51-901 Short title
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This part 9 shall be known and may be cited as the Local Government Investment Pool Trust Fund Administration and Enforcement Act. Source: L. 93: Entire part added, p. 327, � 4, effective July 1.
Colo. Rev. Stat. § 11-51-902 General powers of securities commissioner
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The securities commissioner is hereby empowered to administer and enforce the provisions of part 7 of article 75 of title 24, C.R.S., and all the provisions of this part 9. Source: L. 93: Entire part added, p. 327, � 4, effective July 1.
Colo. Rev. Stat. § 11-51-903 Interests in local government investment pool trust fund
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(1) For the purposes of this part 9, unless the context otherwise requires: (a) The interest of a participating local government in a local government investment pool trust fund is a security, as defined by section 11-51-201 (17); and (b) The solicitation of a local government to…
Colo. Rev. Stat. § 11-51-904 Requirement for registration of local government investment pools
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(1) It is unlawful for the board of trustees of any local government investment pool trust fund to permit the investment of trust fund assets unless the trust fund is registered with the securities commissioner under this part 9. (2) It is unlawful for a local government to parti…
Colo. Rev. Stat. § 11-51-905 General registration requirements
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(1) A local government investment pool trust fund shall register with the securities commissioner under this part 9 by filing a notice, in such form as prescribed by the securities commissioner, and a copy of the resolution adopted pursuant to section 24-75-703, C.R.S. (2) Any lo…
Colo. Rev. Stat. § 11-51-906 Reports to securities commissioner
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(1) A local government investment pool trust fund shall inform the securities commissioner of any material change regarding the administrator, investment adviser, broker-dealer, or financial institution acting in an advisory capacity, or custodian of the trust fund within ten day…
Colo. Rev. Stat. § 11-51-907 Access to records
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(1) The securities commissioner, in a manner reasonable under the circumstances, may examine, without notice, any accounts held by a custodian on behalf of a local government investment pool trust fund and all books, records, and papers pertaining thereto, and all accounts, books…
Colo. Rev. Stat. § 11-51-908 Confidentiality of information
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Financial information and the identities of participating local governments in the possession of, filed with, or obtained by the securities commissioner under this part 9 shall be confidential. No such information may be disclosed by the securities commissioner or any of the offi…
Colo. Rev. Stat. § 11-52-101 and 11-52-102. (Repealed)
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C.R.S. 11-52-101Statutes current through Chapter 65 of the 2026 Regular Session, effective as of April 20, 2026. The text of this section is not final. It will not be final until compared to, and updated from, the text provided by the Colorado Office of Legislative Legal Services…
Colo. Rev. Stat. § 11-53-101 Short title
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This article shall be known and may be cited as the Colorado Commodity Code. Source: L. 89: Entire article R&RE, p. 629, � 1, effective July 1.
Colo. Rev. Stat. § 11-53-102 Definitions
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As used in this article, unless the context otherwise requires: (1) Board of trade means any person or group of persons engaged in buying or selling any commodity or receiving the same for sale on consignment, whether such person or group of persons is characterized as a board of…
Colo. Rev. Stat. § 11-53-103 Unlawful commodity transactions
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Except as otherwise provided in section 11-53-104 or 11-53-105, no person shall sell or purchase or offer to sell or purchase any commodity under any commodity contract or under any commodity option or offer to enter into or enter into as seller or purchaser any commodity contrac…
Colo. Rev. Stat. § 11-53-104 Exempt person transactions
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(1) The prohibitions in section 11-53-103 shall not apply to any transaction offered by and in which any of the following persons (or any employee, officer, or director thereof acting solely in that capacity) is the purchaser or seller: (a) A person registered with the commodity …
Colo. Rev. Stat. § 11-53-105 Exempt transactions
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(1) The prohibitions in section 11-53-103 shall not apply to the following: (a) An account, agreement, or transaction within the exclusive jurisdiction of the commodity futures trading commission as granted under the commodity exchange act; (b) A commodity contract for the purcha…
Colo. Rev. Stat. § 11-53-106 Unlawful commodity activities
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(1) No person shall engage in a trade or business of or otherwise act as a commodity merchant unless such person is either: (a) Registered or temporarily licensed with the commodity futures trading commission for each activity constituting such person as a commodity merchant, and…
Colo. Rev. Stat. § 11-53-107 Fraudulent conduct
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(1) No person shall, directly or indirectly, in or in connection with the purchase or sale of, the offer to sell, the offer to purchase, the offer to enter into, or the entry into of any commodity contract or commodity option prohibited by section 11-53-103 or made pursuant to se…
Colo. Rev. Stat. § 11-53-108 Misleading filings
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It is unlawful for any person to make or cause to be made, in any document filed with the commissioner or in any proceeding under this article, any statement which is, at the time and in the light of the circumstances under which it was made, false or misleading in any material r…
Colo. Rev. Stat. § 11-53-109 Liability of principals, controlling persons, and others
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(1) The act, omission, or failure of any official, agent, or other person acting for any individual, association, partnership, corporation, or trust within the scope of his employment or office shall be deemed the act, omission, or failure of such individual, association, partner…
Colo. Rev. Stat. § 11-53-110 Securities law unaffected
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Nothing in this article shall impair, derogate, or otherwise affect the authority or powers of the commissioner under article 51 of this title or the application of any provision thereof to any person or transaction subject thereto. Source: L. 89: Entire article R&RE, p. 636, � 1…
Colo. Rev. Stat. § 11-53-111 Purpose
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This article shall be construed and implemented to effectuate its general purpose to protect investors, to prevent and prosecute illegal and fraudulent schemes involving commodity contracts and commodity options, and to maximize coordination with federal law and other states' law…
Colo. Rev. Stat. § 11-53-201 Investigations - subpoenas
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(1) The commissioner in his discretion may make such public or private investigations within or outside of this state as the commissioner deems necessary to determine whether any person has violated any provision of this article or any rule or order under this article or to aid i…
Colo. Rev. Stat. § 11-53-202 Enforcement - cease-and-desist orders
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(1) Whenever it appears to the commissioner that any person has engaged in any act or practice constituting a violation of any provision of this article or any rule or order under this article, the commissioner may apply to the district court for the city and county of Denver, or…
Colo. Rev. Stat. § 11-53-203 Power of court to grant relief
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(1) Upon a proper showing by the commissioner that a person has violated any provision of this article or any rule or order under this article, the court may grant appropriate legal or equitable remedies including a temporary restraining order, a preliminary and permanent prohibi…
Colo. Rev. Stat. § 11-53-204 Criminal penalties - statute of limitations
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(1) Any person who willfully violates any provision of this article, except section 11-53-108, or who willfully violates section 11-53-108 when the person knows or should know that the statement the person makes in violation of section 11-53-108 is false or misleading in any mate…
Colo. Rev. Stat. § 11-53-205 Administration of article
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(1) This article shall be administered by the commissioner as the head of the division of securities within the department of regulatory agencies. (2) Neither the commissioner nor any employees of the commissioner shall use any information which is filed with or obtained by the c…
Colo. Rev. Stat. § 11-53-206 Cooperation with other agencies
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(1) To encourage uniform application and interpretation of this article and commodities regulation and enforcement in general, the commissioner and the employees of the commissioner may cooperate, including bearing the expense of such cooperation, with law enforcement and other r…
Colo. Rev. Stat. § 11-53-207 General authority to adopt rules, forms, and orders
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(1) In addition to specific authority granted elsewhere in this article, the commissioner may make, amend, and rescind such rules, forms, and orders as are necessary to carry out the provisions of this article. Such rules or forms shall include, but need not be limited to, rules …
Colo. Rev. Stat. § 11-53-208 Scope of article
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(1) Sections 11-53-103, 11-53-106, and 11-53-107 apply to persons who sell or offer to sell when an offer to sell is made in this state or when an offer to buy is made and accepted in this state. (2) Sections 11-53-103, 11-53-106, and 11-53-107 apply to persons who buy or offer t…
Colo. Rev. Stat. § 11-53-209 Pleading exemptions
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It shall not be necessary to plead in the negative any of the exemptions of this article in any complaint, information, or indictment or any writ or proceeding brought under this article; and the burden of proof of any such exemption shall be upon the party claiming the same. Sou…
Colo. Rev. Stat. § 11-53-210 Affirmative defenses
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(1) It shall be an affirmative defense in any complaint, information, or indictment, or to any writ or proceeding brought under this article alleging a violation of section 11-53-103 based solely on the failure in an individual case to make physical delivery within the applicable…
Colo. Rev. Stat. § 11-53-211 Interpretive opinions
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The securities commissioner may honor requests from interested persons for confirmation of the applicability of particular exclusions from the definitions set forth in section 11-53-102, for the applicability of exemptions set forth in sections 11-53-104 and 11-53-105, and for th…
Colo. Rev. Stat. § 11-54-101 Short title
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This article shall be known and may be cited as the Refunding Revenue Securities Law. Source: L. 63: p. 886, � 7. C.R.S. 1963: � 125-8-1.
Colo. Rev. Stat. § 11-54-102 Definitions
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As used in this article, unless the context otherwise requires: (1) Facility means any of the facilities or properties, revenues derived from the operation of which are pledged to the payment of public securities. (2) Repealed. (3) Governing body means the city council, commissio…
Colo. Rev. Stat. § 11-54-103 Refunding public securities
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Any public securities issued by the state, or any public body thereof, may be refunded, without an election, by the state or public body issuing them, or any successor thereof, in the name of the state or public body issuing the public securities being refunded, but subject to pr…
Colo. Rev. Stat. § 11-54-104 Method of issuance
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Any public securities issued for refunding purposes either may be delivered in exchange for the outstanding public securities being refunded or may be publicly or privately sold. Source: L. 63: p. 888, � 4. C.R.S. 1963: � 125-8-4.
Colo. Rev. Stat. § 11-54-105 Limitations upon issuance
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No public securities may be refunded under this article unless the holders thereof voluntarily surrender them for exchange or payment, or unless they either mature or are callable for prior redemption under their terms within ten years from the date of issuance of the refunding p…
Colo. Rev. Stat. § 11-54-106 Use of proceeds of refunding public securities
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(1) The proceeds of refunding public securities shall either be immediately applied to the retirement of the public securities to be refunded or be placed in escrow in any state or national bank within the state which is a member of the federal deposit insurance corporation to be…
Colo. Rev. Stat. § 11-54-107 Payment of refunding public securities
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Refunding public securities may be made payable from any revenues derived from any utility, system, project, or other source which might be legally pledged for the payment of the public securities being refunded at the time of the refunding or at the time of the issuance of the p…
Colo. Rev. Stat. § 11-54-108 Combination of refunding and other public securities
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Public securities for refunding and public securities for any other authorized purpose may be issued separately or issued in combination in one series or more by the same issuer. Source: L. 63: p. 889, � 8. C.R.S. 1963: � 125-8-8.
Colo. Rev. Stat. § 11-54-109 Supplemental provisions
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Except as specifically provided or necessarily implied in this article, the relevant provisions in this article appertaining generally to the public securities being refunded shall be equally applicable in the authorization and issuance of refunding public securities, including t…
Colo. Rev. Stat. § 11-54-110 Governing body's determination final
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The determination of the governing body of the issuer that the limitations under this article imposed upon the issuance of refunding public securities have been met shall be conclusive in the absence of fraud or arbitrary and gross abuse of discretion. Source: L. 63: p. 891, � 10…
Colo. Rev. Stat. § 11-54-111 Public security provisions
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(1) Public securities, including refunding public securities issued under this article and local district college revenue securities issued under the provisions of article 71 of title 23, C.R.S., shall bear interest at a rate such that the net effective interest rate of the issue…
Colo. Rev. Stat. § 11-54-112 Signatures on public securities
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(1) The public securities and any coupons bearing the signatures of officers in office on the date of the signing thereof shall be valid and binding obligations of the issuer, notwithstanding that before the delivery thereof and payment therefor any of the persons whose signature…
Colo. Rev. Stat. § 11-54-113 Covenants in authorizing ordinance
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(1) Any ordinance authorizing the issuance of public securities under this article, or any trust indenture or other instrument appertaining thereto, may contain covenants as to: (a) The rates, fees, tolls, and charges to be charged for the services and commodities of the faciliti…