Out Of State Regulations:
Col. Rev. Stat. §11-51-402(5): "Any investment adviser with no place of business in this state… who during the preceding twelve-month period has had not more than five clients."
In State Regulations:
No exemption, based on examiner's reference to definition of investment adviser Col. Rev. Stat. §11-51-201(5), exemption at Col. Rev. Stat. §11-51-402(5).
Comments on this regulation:
Exemption based on an exemption to the registration requirements. Still may be subject to other rules applying to investment advisers. See Col. Rev. Stat. § 11-51-201(9.5)(a)(I) for definition of investment adviser. See Col. Rev. Stat. § 11-51-402(5) for exemptions.
State Regulations Website:
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Col. Rev. Stat. §11-51-402(5): "Any investment adviser with no place of business in this state… who during the preceding twelve-month period has had not more than five clients."
In State Regulations:
No exemption, based on examiner's reference to definition of investment adviser Col. Rev. Stat. §11-51-201(5), exemption at Col. Rev. Stat. §11-51-402(5).
Comments on this regulation:
Exemption based on an exemption to the registration requirements. Still may be subject to other rules applying to investment advisers. See Col. Rev. Stat. § 11-51-201(9.5)(a)(I) for definition of investment adviser. See Col. Rev. Stat. § 11-51-402(5) for exemptions.
State Regulations Website:
Click to view
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