0

Securities Home

/sites/securities/files/styles/max_1920/public/images/homepage_final.png

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.

 

Alerts, Press Releases, and Articles

2025: Alerts, Press Releases, and Articles

2023-2024: Alerts, Press Releases, and Articles

2021-2022: Alerts, Press Releases, and Articles

Boards and Public Notices

Colorado Securities Board

Public Notices

Rulemaking Notices & Opinions

The Colorado Office of Policy, Research and Regulatory Reform is currently conducting a sunset review of the Division of Securities and the Securities Advisory Board. Analysis is performed to determine if the Division and Board are necessary and should be continued, modified, or repealed. To provide input on this review, please complete this form.

Newsroom

June 5, 2025 -- Mack Jamie Sprouse, a resident of Jefferson County, Colorado, was indicted on 11 counts of securities fraud by a grand jury.
May 29, 2025 -- Learn about the risks of third-party platforms.
May 28, 2025 -- The Examination Staff of the Colorado Division of Securities recommends that state-licensed investment advisers carefully review their use of third-party platforms that provide access to view and trade held-away client assets.