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Welcome to the Colorado Division of Securities
The Division of Securities exists to protect investors and maintain confidence in the securities market, while avoiding unreasonable burdens on the marketplace by licensing securities professionals, enforcing securities law violations, and helping Coloradans become more informed investors.
- Enforcement Actions
- Alerts, Press Releases, and Articles
- Boards and Public Notices
- About the Division
Newsroom
March 23, 2022
Denver (CO) – March 23, 2022– The Colorado Division of Securities (the “Division”) recently published an “Ongoing Financial Planning Guide” to assist investment advisers offering ongoing financial planning services.
January 11, 2022
Alert - The Colorado Division of Securities Announces 2022 Investment Adviser Examination Priorities
Denver (CO) – January 11, 2021 – The Colorado Division of Securities (“Division”) released its 2022 investment adviser examination priorities.
December 14, 2021
DENVER - The Colorado Division of Securities is partnering with the Investor Protection Trust and PBS Books to produce “The End-of-Year Financial Checklist” virtual event to livestream on the DORA’s Facebook page, (https://www.facebook.com/Dora.Colorado.gov/) on Friday, December 17, 2021 at 11:00 a.m. MST