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Department of Insurance, Securities and Banking

Compliance Requirements: Securities

Licensing and Registration Requirements

2025 FINRA Annual Renewal Program Calendar
Licensing Requirements for Broker Dealers and Agents
Licensing Requirements for Investment Advisers and Representatives
DC Investment Adviser Representative Continuing Education Requirements
DC Broker-Dealer Licensing Examination Qualifications EVEP Rule Making
Exempt Private Advisers Fund
Exempt Venture Capital Advisers Fund

Securities Firms Examinations

Examination Process
Recommended Best Practices for coordinated Investment Advisers Examinations
Recommended Best Practices for coordinated Broker-Dealers Examinations

Securities Registration and Notice Filing Requirements

Corporate Finance Division

Hearings and Administrative Actions

Administrative Hearing Process
Securities Administrative Actions