Broker-Dealer Acknowledgment Form

Broker-Dealer Notice

By virtue of conducting investment transactions with the Colorado Department of the Treasury, approved broker-dealers acknowledge that they have reviewed the Investment Policy Statement displayed on the Colorado Department of the Treasury website and sent a signed statement to the State Treasurer acknowledging an understanding of this Investment Policy Statement. Approved broker-dealers agree to have implemented reasonable procedures and internal controls to preclude imprudent and fraudulent investment activities arising out of investment transactions conducted between the Colorado Department of the Treasury and the approved broker-dealers. It is expected that all approved broker-dealers use professional due diligence in informing the Colorado Department of the Treasury of foreseeable risks associated with financial transactions.

Broker-Dealer Acknowledgment Form

By my authorization below, I acknowledge that my firm has received, read, and agrees to comply with all requirements and limitations in the State of Colorado Department of the Treasury’s Investment Policy Statement, dated February 26, 2025.

An asterisk (*) indicates a required field.

I am authorized to complete this form on behalf of my firm.

Date

Title

Firm

Full Name

Website

Phone

Address

City

State

ZIP Code

I acknowledge that my firm has received and reviewed the Broker-Dealer Acknowledgment and agrees to its terms.

Broker-Dealer Acknowledgment Form

Broker-Dealer Notice

Broker-Dealer Acknowledgment Form

Office of the Treasurer

Treasury Programs