3 Colo. Code Regs. § 704-1-51-4.2
Current through Register Vol. 47, No. 22, November 25, 2024
Section 3 CCR 704-1-51-4.2 - Withdrawal of a Broker-Dealer LicenseA. An application to withdraw as a licensed broker-dealer in Colorado and any amendments to such application shall be made on Form BDW (Uniform Request for Withdrawal from Registration as a Broker-Dealer).B. A broker-dealer licensed in Colorado who is or was registered under the 34 Act shall send any application for withdrawal and any amendments to such application to the CRD with Colorado designated as a recipient state. An application for withdrawal and any amendments shall be deemed 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. A Colorado broker-dealer who is not and was not registered under the 34 Act shall send any such application and any amendments to such application to the Securities Commissioner.38 CR 01, January 10, 2015, effective 1/30/201538 CR 08, April 25, 2015, effective 6/1/201538 CR 18, September 25, 2015, effective 10/15/201539 CR 01, January 10, 2016, effective 1/30/201640 CR 01, January 10, 2017, effective 1/30/201740 CR 12, June 25, 2017, effective 7/15/201741 CR 13, July 10, 2018, effective 7/31/201843 CR 05, March 10, 2020, effective 3/30/202046 CR 05, March 10, 2023, effective 3/30/2023