Colorado NASAA Model Rule Adoption
Colorado has 6 of 9 tracked NASAA model rules verified as adopted.
"Varies / Unverified" does not mean the state lacks a requirement — most states have equivalent rules. It means the specific NASAA model rule adoption has not been confirmed against a primary source in our current research.
Marketing Rule
Standards for advertising, testimonials, endorsements, and performance presentation.
The NASAA Marketing Rule was proposed in July 2025 and is still under consideration. Most states have their own pre-existing advertising rules.
Custody Rule
Requirements for safeguarding client funds and securities, including qualified custodian requirements.
Books & Records
Record creation, maintenance, and retention requirements for investment advisory firms.
Ethics Rule
Code of ethics, personal trading, and conflict of interest requirements for advisory personnel.
Registration Rule
Investment adviser and IAR registration, qualification, and reporting standards.
IAR Continuing Education
12 credits per year: 6 Products & Practice + 6 Ethics. Tracked through IARD system.
Effective since 2024
Policies & Procedures
Written compliance policies and procedures tailored to the firm's advisory activities.
Information Security
Written information security policies, risk assessments, incident response plans, and vendor due diligence.
Brochure Rule
Firm brochure (Part 2A) and brochure supplement (Part 2B) delivery and update requirements.
Adoption data sourced from NASAA model rule matrix, NV 2024 Legislative Survey, state regulator websites, and IARD fee schedules (March 2026). "Varies / Unverified" means the state may have equivalent requirements but adoption of the specific NASAA model rule text has not been confirmed in our current sources.
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Compliance Approved automatically tracks state-specific requirements.