Home / Compliance / Colorado / Broker-Dealer
Colorado Broker-Dealer Compliance
Colorado is a fast-growing advisory market. FIN Group provides fractional CCO services, Form BD filings, annual reviews, and exam support for Broker-Dealers operating here.
Who needs to register in Colorado
Any Broker-Dealer with a principal place of business in Colorado, or with clients located in Colorado above the de minimis threshold, must register with the Colorado Division of Securities or — if eligible — with the SEC.
Colorado-specific nuance
Colorado requires a $200 RIA filing fee and minimum net worth of $35,000 with custody, $10,000 with discretion only.
Regulator: Colorado Division of Securities
Annual obligations for Broker-Dealers
The core federal calendar that applies on top of Colorado's requirements:
- Maintain FINRA membership and Form BD currency
- File quarterly FOCUS reports (Form X-17A-5)
- Maintain Written Supervisory Procedures (WSPs) covering all business lines
- Conduct annual Rule 3120 compliance testing and Rule 3130 CEO certification
- Comply with Reg BI for all retail recommendations (Form CRS required)
- Run AML program under FinCEN with annual independent testing
How FIN Group helps Colorado Broker-Dealers
Fractional CCO
A named, senior CCO who owns your Form BD filings, annual review, and exam response.
Explore Fractional CCOCompliance Calendar Software
RegReview tracks every state, federal, and firm-level deadline with automatic reminders.
Explore Compliance Calendar SoftwareMarketing Compliance Review
ADScanner reviews every piece of marketing for Rule 206(4)-1 / FINRA 2210 issues in seconds.
Explore Marketing Compliance ReviewInvestor Onboarding
InvestPrep handles KYC, AML, and subscription documents end-to-end.
Explore Investor OnboardingBroker-Dealer compliance in other states
Also exploring a different registration type? Colorado RIA · Colorado Private Fund
Ready to simplify Colorado compliance?
Talk to a senior CCO in 24 hours. No sales gauntlet.