Temporary Licensing Order, Case Number 2020-CDS-007

The record

Jurisdiction

Colorado; Division of Securities, Department of Regulatory Agencies (State securities regulator) · Colorado

Level

Sector regulator

Authority

C.R.S. §§ 11-51-402(5)(b), 11-51-704(1)

Issued

2020-03-20 Mar. 20, 2020

Effective

2020-03-20

End

2020-04-30 unless extended or terminated (read as 2020-04-30)

In force

Mar. 20, 2020 to Apr. 30, 2020

Quarters

2020 Q2

2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3

Limitation types

Telework mandateOther

Addressees

• broker-dealers, investment advisers and their sales representatives and investment adviser representatives

Functions reached

• WM broker-dealers and advisers (displaced personnel; temporary offices)
• OP
• HR

Collection

State insurance and banking regulators AGY-ST-INSURANCE-BANKING

Operative words

A. Such financial professionals are temporarily exempted from the registration and filing requirements of the Colorado Securities Act 11-51-401 and related regulations in the following circumstances: 1. The financial professional is displaced and working from a location outside of the jurisdiction in which he/she/it is currently register[ed]... [2.] Open and maintain a temporary branch office or office of supervisory jurisdiction in Colorado that was not in operation on March 1, 2020, provided that the financial professional [informs the Division]... Pursuant to 11-51-704(2), C.R.S., the commissioner finds that entry of this Order is necessary [and in the public interest]... This Temporary Order shall remain in effect until April 30, 2020, unless extended or [terminated]. DATE: March 20, 2020

Enforcement

Notes