Corporate & Securities Law

By Jim Hamilton

Colorado Proposes to Adopt Electronic Form D

Colorado Proposes to amend its Securities Act of 1933 Rule at Section 11-51-3.7 to add the SEC requirement to file Form D electronically. Additionally, Rule 51-3-5 coordinating with the Colorado statutory investment company exemption at 11-51-307(1)(k) would be amended to change the filing requirements. Lastly, the NASAA Model Rule on the use of senior specific certifications and professional designations would be proposed.

A public hearing on the above proposals will take place at the Colorado Department of Regulatory Agencies, Conference Room 900, 1560 Broadway, 9th Floor, Denver, Colorado 80202, on Friday October 3, 2008 at 9:00 a.m. Information on the proposed rules are available at the Division of Securities, 1560 Broadway, Suite 900, Denver, Colorado 80202, and the Division's website http://www.dora.state.co.us/securities at least five days before the public hearing.

Full post as published by Jim Hamilton's World of Securities Regulation on September 12, 2008 (boomark / email).