Statutes, codes, and regulations
Colorado Administrative Code
Department 700 - Department of Regulatory AgenciesDivision 704 - Division of SecuritiesRule 3 CCR 704-1 - RULES UNDER THE COLORADO SECURITIES ACT
Chapter 7 - ADMINISTRATION AND FEES
Section 3 CCR 704-1-51-7.1 - Consent to Service of Process

3 Colo. Code Regs. § 704-1-51-7.1

Download
PDF
Current through Register Vol. 47, No. 22, November 25, 2024
Section 3 CCR 704-1-51-7.1 - Consent to Service of Process
A. An applicant who files Form BD, ADV, or U-4, pursuant to Chapter 4 or Chapter 4 (IA) of these Rules, shall file the required Consent to Service of Process by completing the relevant portion of Form BD, ADV or U-4.
B. An applicant who is registered or registering with FINRA or who is affiliated with a FINRA broker-dealer shall file the Consent to Service of Process, through such FINRA broker-dealer, with the CRD. The Consent to Service of Process shall be deemed to be filed with the Securities Commissioner on the date CRD enters it if CRD verification is not required, or the date CRD verifies it if CRD verification is required.
C. An applicant who is registered or registering with the SEC, or is licensed or licensing with the Securities Commissioner as an investment adviser, or who is affiliated with an investment adviser or federal covered adviser shall file the Consent to Service of Process, through such investment adviser, with the IARD. The Consent to Service of Process shall be deemed to be filed with the Securities Commissioner on the date all fees are received and the filing is accepted by IARD on behalf of the Securities Commissioner.
D. The Consent to Service of Process of a sales representative who is not registered or registering with FINRA or who is not affiliated with a FINRA broker-dealer shall be filed through the broker-dealer, or issuer with which the person is affiliated with the Securities Commissioner.
E. Any other person who must file a Consent to Service of Process form shall file Forms U-2 (Uniform Consent to Service of Process) and U-2A (Uniform Corporate Resolution), if applicable, with the Securities Commissioner.

3 CCR 704-1-51-7.1

38 CR 01, January 10, 2015, effective 1/30/2015
38 CR 08, April 25, 2015, effective 6/1/2015
38 CR 18, September 25, 2015, effective 10/15/2015
39 CR 01, January 10, 2016, effective 1/30/2016
40 CR 01, January 10, 2017, effective 1/30/2017
40 CR 12, June 25, 2017, effective 7/15/2017
41 CR 13, July 10, 2018, effective 7/31/2018
43 CR 05, March 10, 2020, effective 3/30/2020
46 CR 05, March 10, 2023, effective 3/30/2023