Martine Ventello

Oct 26, 2023 | mondaq.com | Peter Schwartz |Martine Ventello

This is the third in a three-part series discussing the new and amended rules (collectively the "Rules") adopted by the Colorado Division of Securities ("Division") effective as of March 30, 2023 (the "Effective Date"). The series discusses the new and amended rules under the Colorado Securities Act (the "Colorado Act") applicable to certain Colorado investment advisers and their registered representatives ("IARs").

Oct 26, 2023 | mondaq.com | Peter Schwartz |Martine Ventello

This is the second in a three-part series discussing the newly amended rules (collectively the "Rules") adopted by the Colorado Division of Securities ("Division") effective as of March 30, 2023 (the "Effective Date") applicable to certain Colorado investment advisers and their registered representatives ("IARs"). The Rules mostly affect investment advisers registered with Colorado State (such advisers, "Colorado Licensed Advisers").

Oct 26, 2023 | mondaq.com | Peter Schwartz |Martine Ventello

The Colorado Division of Securities ("Division") has adopted new and amended rules (collectively the "Rules") applicable to certain Colorado investment advisers and their representatives, effective as of March 30, 2023 (the "Effective Date").