reglab/housing_qa huggingface dataset:
CO Code § 11-51-1007 (2021)
2021 Colorado Code|Title 11 - Financial Institutions|Article 51 - Securities|Part 10 - Protect Vulnerable Adults From Financial Exploitation Act|§ 11-51-1007. Records

 A broker-dealer or investment adviser shall provide access to or copies of records that are relevant to the suspected or attempted financial exploitation of an eligible adult to agencies charged with administering state adult protective services laws and to law enforcement, either as part of a referral to the agency or to law enforcement, or upon request of the agency or law enforcement pursuant to an investigation. The records may include historical records as well as records relating to the most recent transaction or transactions that may comprise financial exploitation of an eligible adult. All records made available to agencies under this section are not public records as defined in part 2 of article 72 of title 24. Nothing in this section limits or otherwise impedes the authority of the state securities commissioner to access or examine the books and records of broker-dealers and investment advisers as otherwise provided by law.   History. Source: L. 2017: Entire part added, (HB 17-1253), ch. 289, p. 1607, § 2, effective July 1.
CO Code § 11-51-1008 (2021)
2021 Colorado Code|Title 11 - Financial Institutions|Article 51 - Securities|Part 10 - Protect Vulnerable Adults From Financial Exploitation Act|§ 11-51-1008. Multiple Duties to Report

 Compliance with this part 10 does not discharge the duty of a mandatory reporter under section 18-6.5-108 to report mistreatment to a local law enforcement agency.   History. Source: L. 2017: Entire part added, (HB 17-1253), ch. 289, p. 1607, § 2, effective July 1.
CO Code § 11-53-101 (2021)
2021 Colorado Code|Title 11 - Financial Institutions|Article 53 - Colorado Commodity Code|Part 1 - Regulation of Commodity Sales - Unlawful Activities|§ 11-53-101. Short Title

 This article shall be known and may be cited as the “Colorado Commodity Code”.   History. Source: L. 89: Entire article R&RE, p. 629, § 1, effective July 1.
CO Code § 11-53-103 (2021)
2021 Colorado Code|Title 11 - Financial Institutions|Article 53 - Colorado Commodity Code|Part 1 - Regulation of Commodity Sales - Unlawful Activities|§ 11-53-103. Unlawful Commodity Transactions

 Except as otherwise provided in section 11-53-104 or 11-53-105 , no person shall sell or purchase or offer to sell or purchase any commodity under any commodity contract or under any commodity option or offer to enter into or enter into as seller or purchaser any commodity contract or any commodity option.   History. Source: L. 89: Entire article R&RE, p. 631, § 1, effective July 1.
CO Code § 11-53-104 (2021)
2021 Colorado Code|Title 11 - Financial Institutions|Article 53 - Colorado Commodity Code|Part 1 - Regulation of Commodity Sales - Unlawful Activities|§ 11-53-104. Exempt Person Transactions

  The prohibitions in section 11-53-103 shall not apply to any transaction offered by and in which any of the following persons (or any employee, officer, or director thereof acting solely in that capacity) is the purchaser or seller:   A person registered with the commodity futures trading commission as a futures commission merchant or as a leverage transaction merchant whose activities require such registration;    A person registered with the securities and exchange commission as a broker-dealer whose activities require such registration;    A person affiliated with, and whose obligations and liabilities under the transaction are guaranteed by, a person referred to in paragraph (a) or (b) of this subsection (1);    A person who is a member of a contract market designated by the commodity futures trading commission (or any clearinghouse thereof);    A financial institution; or    A person registered under the laws of this state as a securities broker or dealer whose activities require such registration.       The exemption provided by subsection (1) of this section shall not apply to any transaction or activity which is prohibited by the commodity exchange act or CFTC rule.     History. Source: L. 89: Entire article R&RE, p. 632, § 1, effective July 1.
CO Code § 11-53-106 (2021)
2021 Colorado Code|Title 11 - Financial Institutions|Article 53 - Colorado Commodity Code|Part 1 - Regulation of Commodity Sales - Unlawful Activities|§ 11-53-106. Unlawful Commodity Activities

  No person shall engage in a trade or business of or otherwise act as a commodity merchant unless such person is either:   Registered or temporarily licensed with the commodity futures trading commission for each activity constituting such person as a commodity merchant, and such registration or temporary license has not expired or been suspended or revoked; or    Exempt from such registration by virtue of the commodity exchange act or a CFTC rule.       No board of trade shall trade, or provide a place for the trading of, any commodity contract or commodity option required to be traded on or subject to the rules of a contract market designated by the commodity futures trading commission unless such board of trade has been so designated for such commodity contract or commodity option and such designation has not been vacated, suspended, or revoked.     History. Source: L. 89: Entire article R&RE, p. 635, § 1, effective July 1.
CO Code § 11-53-107 (2021)
2021 Colorado Code|Title 11 - Financial Institutions|Article 53 - Colorado Commodity Code|Part 1 - Regulation of Commodity Sales - Unlawful Activities|§ 11-53-107. Fraudulent Conduct

  No person shall, directly or indirectly, in or in connection with the purchase or sale of, the offer to sell, the offer to purchase, the offer to enter into, or the entry into of any commodity contract or commodity option prohibited by section 11-53-103 or made pursuant to section 11-53-104 or 11-53-105 (1)(b) or (1)(d):   Cheat or defraud, or attempt to cheat or defraud, any other person or employ any device, scheme, or artifice to defraud any other person;    Make any false report, enter any false record, or make any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in the light of the circumstances under which they were made, not misleading;    Engage in any transaction, act, practice, or course of business, including, without limitation, any form of advertising or solicitation, which operates or would operate as a fraud or deceit upon any person; or    Misappropriate or convert the funds, security, or property of any other person.        History. Source: L. 89: Entire article R&RE, p. 636, § 1, effective July 1.
CO Code § 11-53-108 (2021)
2021 Colorado Code|Title 11 - Financial Institutions|Article 53 - Colorado Commodity Code|Part 1 - Regulation of Commodity Sales - Unlawful Activities|§ 11-53-108. Misleading Filings

 It is unlawful for any person to make or cause to be made, in any document filed with the commissioner or in any proceeding under this article, any statement which is, at the time and in the light of the circumstances under which it was made, false or misleading in any material respect.   History. Source: L. 89: Entire article R&RE, p. 636, § 1, effective July 1.
CO Code § 11-53-109 (2021)
2021 Colorado Code|Title 11 - Financial Institutions|Article 53 - Colorado Commodity Code|Part 1 - Regulation of Commodity Sales - Unlawful Activities|§ 11-53-109. Liability of Principals, Controlling Persons, and Others

  The act, omission, or failure of any official, agent, or other person acting for any individual, association, partnership, corporation, or trust within the scope of his employment or office shall be deemed the act, omission, or failure of such individual, association, partnership, corporation, or trust, as well as of such official, agent, or other person.    Every person who directly or indirectly controls another person liable under any provision of this article, every partner, officer, or director of such liable person, every person occupying a similar status or performing similar functions to such liable person, and every employee of such liable person who materially aids in the violation is also liable jointly and severally with and to the same extent as the person liable under the provisions of this article unless the person who is also liable by virtue of this subsection (2) sustains the burden of proof that the person did not know, and in exercise of reasonable care could not have known, of the existence of the facts by reason of which the liability is alleged to exist.     History. Source: L. 89: Entire article R&RE, p. 636, § 1, effective July 1.
CO Code § 11-53-110 (2021)
2021 Colorado Code|Title 11 - Financial Institutions|Article 53 - Colorado Commodity Code|Part 1 - Regulation of Commodity Sales - Unlawful Activities|§ 11-53-110. Securities Law Unaffected

 Nothing in this article shall impair, derogate, or otherwise affect the authority or powers of the commissioner under article 51 of this title or the application of any provision thereof to any person or transaction subject thereto.   History. Source: L. 89: Entire article R&RE, p. 636, § 1, effective July 1.
CO Code § 11-53-111 (2021)
2021 Colorado Code|Title 11 - Financial Institutions|Article 53 - Colorado Commodity Code|Part 1 - Regulation of Commodity Sales - Unlawful Activities|§ 11-53-111. Purpose

 This article shall be construed and implemented to effectuate its general purpose to protect investors, to prevent and prosecute illegal and fraudulent schemes involving commodity contracts and commodity options, and to maximize coordination with federal law and other states' laws and the administration and enforcement thereof. This article is not intended to create, abolish, or modify any rights or remedies upon which actions may be brought by private persons against persons who violate the provisions of this article.   History. Source: L. 89: Entire article R&RE, p. 637, § 1, effective July 1.
CO Code § 11-53-201 (2021)
2021 Colorado Code|Title 11 - Financial Institutions|Article 53 - Colorado Commodity Code|Part 2 - Enforcement of Commodity Code - Penalties|§ 11-53-201. Investigations - Subpoenas

  The commissioner in his discretion may make such public or private investigations within or outside of this state as the commissioner deems necessary to determine whether any person has violated any provision of this article or any rule or order under this article or to aid in the enforcement of this article, or, in the prescribing of rules and forms under this article, the commissioner may require or permit any person to file a statement as to all the facts and circumstances concerning the matter to be investigated and may publish information concerning any proceeding brought under this article or any rule or order issued under this article.    For purpose of any investigation or proceeding under this article, the commissioner or any officer designated by the commissioner may administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, agreements, or other documents or records which the commissioner finds to be relevant or material to the inquiry.    In case of contumacy by, or refusal to obey a subpoena issued to, any person, the district court of the city and county of Denver, upon application by the commissioner, may issue to such person an order requiring the person to appear before the commissioner, or the officer designated by him, to produce documentary evidence if so ordered or to give evidence touching the matter under investigation or in question. Failure to obey the order of the court may be punished by the court as a contempt of court.    No person is excused from attending and testifying or from producing any document or record before the commissioner, or in obedience to the subpoena of the commissioner or any officer designated by the commissioner, or in any proceeding instituted by the commissioner on the ground that the testimony or evidence, documentary or otherwise, required of the person subpoenaed may tend to incriminate said person or subject the person to a penalty or forfeiture; but no document, evidence, or other information compelled under order of the district court of the city and county of Denver, or any information directly or indirectly derived from such document, evidence, or other information, may be used against an individual so compelled in any criminal case; except that the individual testifying is not exempt from prosecution and punishment for perjury in the first or second degree or contempt committed in testifying.     History. Source: L. 89: Entire article R&RE, p. 637, § 1, effective July 1.
CO Code § 11-53-202 (2021)
2021 Colorado Code|Title 11 - Financial Institutions|Article 53 - Colorado Commodity Code|Part 2 - Enforcement of Commodity Code - Penalties|§ 11-53-202. Enforcement - Cease-and-Desist Orders

  Whenever it appears to the commissioner that any person has engaged in any act or practice constituting a violation of any provision of this article or any rule or order under this article, the commissioner may apply to the district court for the city and county of Denver, or to the appropriate courts of another state, for the appropriate legal or equitable relief, including but not limited to:   A declaratory judgment;    A temporary restraining order or preliminary or permanent prohibitory or mandatory injunction enjoining the act or practice in question and to enforce compliance with this article or any rule or order under this article;    An order for restitution and disgorgement, or either of them; and    An order for appointment of a receiver or conservator for the defendant or the defendant's assets.       Whenever it appears to the commissioner that any person has engaged in any act or practice constituting a violation of any provision of this article or any rule or order under this article, then, in addition to the powers granted in subsection (1) of this section, the commissioner may enter an order to show cause directed to such person and shall follow substantially the procedure set forth in section 11-51-606 (1.5).     History. Source: L. 89: Entire article R&RE, p. 638, § 1, effective July 1. L. 2001: (2) added, p. 803, § 3, effective July 1.
CO Code § 11-53-203 (2021)
2021 Colorado Code|Title 11 - Financial Institutions|Article 53 - Colorado Commodity Code|Part 2 - Enforcement of Commodity Code - Penalties|§ 11-53-203. Power of Court to Grant Relief

  Upon a proper showing by the commissioner that a person has violated any provision of this article or any rule or order under this article, the court may grant appropriate legal or equitable remedies including a temporary restraining order, a preliminary and permanent prohibitory or mandatory injunction, and writ or prohibition or mandamus. In addition, the court may grant the following special remedies:   Imposition of a civil penalty in an amount which may not exceed ten thousand dollars for any single violation or one hundred thousand dollars for multiple violations in a single proceeding or a series of related proceedings;    Disgorgement;    Declaratory judgment;    Restitution to investors wishing restitution; and    Appointment of a receiver or conservator for the defendant or the defendant's assets.       In any such action, the commissioner shall not be required to plead or prove irreparable injury or the inadequacy of the remedy at law. Under no circumstances shall the court require the commissioner to post a bond.     History. Source: L. 89: Entire article R&RE, p. 638, § 1, effective July 1.
CO Code § 11-53-204 (2021)
2021 Colorado Code|Title 11 - Financial Institutions|Article 53 - Colorado Commodity Code|Part 2 - Enforcement of Commodity Code - Penalties|§ 11-53-204. Criminal Penalties - Statute of Limitations

  Any person who willfully violates any provision of this article, except section 11-53-108, or who willfully violates section 11-53-108 when the person knows or should know that the statement the person makes in violation of section 11-53-108 is false or misleading in any material respect commits a class 3 felony and shall be punished as provided in section 18-1.3-401, C.R.S.    The commissioner may refer such evidence as is available concerning violations of this article to the attorney general, the proper district attorney or other criminal prosecutor, who may, with or without such a reference from the commissioner, prosecute the appropriate criminal proceedings.    Nothing in this article limits the power of the state to punish any person for any conduct which constitutes a crime by statute.    No person shall be prosecuted, tried, or punished for any criminal violation of this article unless the indictment, information, complaint, or action for the same is found or instituted within five years after the commission of the offense.     History. Source: L. 89: Entire article R&RE, p. 638, § 1, effective July 1. L. 2002: (1) amended, p. 1472, § 43, effective October 1.    Cross references:   For the legislative declaration contained in the 2002 act amending subsection (1), see section 1 of chapter 318, Session Laws of Colorado 2002.
CO Code § 11-53-205 (2021)
2021 Colorado Code|Title 11 - Financial Institutions|Article 53 - Colorado Commodity Code|Part 2 - Enforcement of Commodity Code - Penalties|§ 11-53-205. Administration of Article

  This article shall be administered by the commissioner as the head of the division of securities within the department of regulatory agencies.    Neither the commissioner nor any employees of the commissioner shall use any information which is filed with or obtained by the commissioner or the designee of the commissioner which is not public information for personal gain or benefit, nor shall the commissioner or employees of the commissioner conduct any securities or commodity dealings whatsoever based upon any such information, even though public, if there has not been a sufficient period of time for the securities or commodity markets to assimilate such information.    Any information obtained by the commissioner or any designee of the commissioner under this article shall be nonpublic and confidential unless made public by the commissioner or the designee of the commissioner in connection with an investigation or proceeding under this article or under section 11-53-206. No provision of this article either creates or derogates from any privilege which exists at common law or otherwise when documentary or other evidence is sought under a subpoena directed to the commissioner or any designee of the commissioner.     History. Source: L. 89: Entire article R&RE, p. 639, § 1, effective July 1.
CO Code § 11-53-206 (2021)
2021 Colorado Code|Title 11 - Financial Institutions|Article 53 - Colorado Commodity Code|Part 2 - Enforcement of Commodity Code - Penalties|§ 11-53-206. Cooperation With Other Agencies

  To encourage uniform application and interpretation of this article and commodities regulation and enforcement in general, the commissioner and the employees of the commissioner may cooperate, including bearing the expense of such cooperation, with law enforcement and other regulatory agencies of this state or other jurisdictions.    The cooperation authorized by subsection (1) of this section shall include, but need not be limited to, the following:   Making joint examinations or investigations;    Holding joint administrative hearings;    Filing and prosecuting joint litigation;    Sharing and exchanging personnel;    Sharing and exchanging information and documents; except that any information or documents shared by the commissioner with other agencies shall remain nonpublic and confidential as provided in section 11-53-205 (3) unless made public in connection with an investigation or proceeding brought by agencies with whom said information or documents was shared; and    Formulating and adopting mutual regulations, statements of policy, guidelines, proposed statutory changes, and releases.        History. Source: L. 89: Entire article R&RE, p. 639, § 1, effective July 1.
CO Code § 11-53-207 (2021)
2021 Colorado Code|Title 11 - Financial Institutions|Article 53 - Colorado Commodity Code|Part 2 - Enforcement of Commodity Code - Penalties|§ 11-53-207. General Authority to Adopt Rules, Forms, and Orders

  In addition to specific authority granted elsewhere in this article, the commissioner may make, amend, and rescind such rules, forms, and orders as are necessary to carry out the provisions of this article. Such rules or forms shall include, but need not be limited to, rules defining any terms, whether or not used in this article, insofar as the definitions are not inconsistent with the provisions of this article. For the purpose of rules or forms, the commissioner may classify commodities, commodity contracts, commodity options, persons, and matters within the commissioner's jurisdiction.    Unless specifically provided in this article, no rule, form, or order may be adopted, amended, or rescinded unless the commissioner finds that the action is:   Necessary or appropriate in the public interest or for the protection of investors; and    Consistent with the purposes fairly intended by the policy and provisions of this article.       All rules and forms of the commissioner shall be published.    No provision of this article imposing any liability applies to any act done or omitted in good faith in conformity with a rule, order, or form adopted by the commissioner, notwithstanding that the rule, order, or form may later be amended, or rescinded, or be determined by judicial or other authority to be invalid for any reason.     History. Source: L. 89: Entire article R&RE, p. 639, § 1, effective July 1.
CO Code § 11-53-208 (2021)
2021 Colorado Code|Title 11 - Financial Institutions|Article 53 - Colorado Commodity Code|Part 2 - Enforcement of Commodity Code - Penalties|§ 11-53-208. Scope of Article

  Sections 11-53-103, 11-53-106, and 11-53-107 apply to persons who sell or offer to sell when an offer to sell is made in this state or when an offer to buy is made and accepted in this state.    Sections 11-53-103, 11-53-106, and 11-53-107 apply to persons who buy or offer to buy when an offer to buy is made in this state or when an offer to sell is made and accepted in this state.     History. Source: L. 89: Entire article R&RE, p. 640, § 1, effective July 1.
CO Code § 11-53-209 (2021)
2021 Colorado Code|Title 11 - Financial Institutions|Article 53 - Colorado Commodity Code|Part 2 - Enforcement of Commodity Code - Penalties|§ 11-53-209. Pleading Exemptions

 It shall not be necessary to plead in the negative any of the exemptions of this article in any complaint, information, or indictment or any writ or proceeding brought under this article; and the burden of proof of any such exemption shall be upon the party claiming the same.   History. Source: L. 89: Entire article R&RE, p. 640, § 1, effective July 1.
CO Code § 11-53-210 (2021)
2021 Colorado Code|Title 11 - Financial Institutions|Article 53 - Colorado Commodity Code|Part 2 - Enforcement of Commodity Code - Penalties|§ 11-53-210. Affirmative Defenses

  It shall be an affirmative defense in any complaint, information, or indictment, or to any writ or proceeding brought under this article alleging a violation of section 11-53-103 based solely on the failure in an individual case to make physical delivery within the applicable time period under section 11-53-102 (5) or 11-53-105 (1)(b) if:   Failure to make physical delivery was due solely to factors beyond the control of the seller, the seller's officers, directors, partners, agents, servants, or employees, any person occupying a similar status or performing a similar function to the seller, or any person who directly or indirectly controls or is controlled by the seller, the seller's affiliates, subsidiaries, or successors; and    Physical delivery was completed within a reasonable time under the applicable circumstances.        History. Source: L. 89: Entire article R&RE, p. 640, § 1, effective July 1.