{"id":"AGY-ST-INSURANCE-BANKING-064","kind":"order","level":"sector-regulator","jurisdiction":"Colorado; Division of Securities, Department of Regulatory Agencies (State securities regulator)","state":"CO","metro":"","industry":"","agency":"ST-INSURANCE-BANKING","eco":"","issuer":"Tung Chan, Securities Commissioner","authority":"C.R.S. §§ 11-51-402(5)(b), 11-51-704(1)","instrument":"Temporary Licensing Order, Case Number 2020-CDS-007","title":"Temporary Relief for Registrants Affected by the COVID-19 Outbreak","dateIssued":"2020-03-20","effective":"2020-03-20","end":"2020-04-30 unless extended or terminated","startDate":"2020-03-20","endDate":"2020-04-30","quarters":["2020Q2"],"types":["TELE","OTHER"],"addressees":["broker-dealers, investment advisers and their sales representatives and investment adviser representatives"],"clause":"A. Such financial professionals are temporarily exempted from the registration and filing requirements of the Colorado Securities Act 11-51-401 and related regulations in the following circumstances: 1. The financial professional is displaced and working from a location outside of the jurisdiction in which he/she/it is currently register[ed]... [2.] Open and maintain a temporary branch office or office of supervisory jurisdiction in Colorado that was not in operation on March 1, 2020, provided that the financial professional [informs the Division]... Pursuant to 11-51-704(2), C.R.S., the commissioner finds that entry of this Order is necessary [and in the public interest]... This Temporary Order shall remain in effect until April 30, 2020, unless extended or [terminated]. DATE: March 20, 2020","enforcement":"C.R.S. §§ 11-51-602, 11-51-603 (enforcement; penalties)","functions":["WM broker-dealers and advisers (displaced personnel; temporary offices)","OP","HR"],"notes":"Scanned order; text read by OCR (kept in _ocr_text).","sourceUrl":"https://www.nasaa.org/wp-content/uploads/2020/03/2020-CDS-007-COVID-19-Temporary-Licesing-Order-CO.pdf","snapshot":"","fileExists":true,"fileBytes":96089,"grade":"primary","character":"","description":"","collection":"AGY-ST-INSURANCE-BANKING","url":"/library/AGY-ST-INSURANCE-BANKING-064","exhibitUrl":"/exhibit/AGY-ST-INSURANCE-BANKING-064","citation":"Tung Chan, Securities Commissioner, Temporary Licensing Order, Case Number 2020-CDS-007 (Mar. 20, 2020) (Ex. AGY-ST-INSURANCE-BANKING-064)","stateName":"Colorado","related":[]}