The LeGaye Law Firm wants to advise you that the Colorado Department of Regulatory Agencies has recently passed a new rules Rules 51-4.3(K) and 51-4.4(IA)(I), which requires all broker-dealer and investment adviser agents who are currently registered to do business in the State of Colorado to register their current business e-mail address with the Commissioner by June 1, 2015.
The Division is offering individuals to file their information directly (here) or by firms using their designated spreadsheet (spreadsheet) and submitting via e-mail to The Division (dora_securitieswebsite@state.co.us).
If you are a retainer client of The LeGaye Law Firm, PC, we will handle the process for your firm and no action is required by you at this time.
For any questions regarding the new rule, how to file or navigate in the Division’s website, please contact Debra Schaps by e-mail or by phone at 281-367-2454.