Securities Home

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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

2020-2021: Recent Enforcement News

Archived Enforcement Actions

Alerts, Press Releases, and Articles

2020-2021: Alerts, Press Releases, and Articles

Archived: Alerts, Press Releases, and Articles

Boards and Public Notices

Colorado Securities Board

Colorado Municipal Bond Supervision Advisory Board

Public Notices

Rulemaking Notices & Opinions

About the Division

About the Commissioner

About the Deputy Commissioner

About the Enforcement Section

About the Examination Section

Investor Education Information

Contact the Division

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Newsroom

April 19, 2021
Denver (CO) – April 19, 2021 —The Colorado Division of Securities (the “Division”) part of the Colorado Department of Regulatory Agencies is partnering with the Investor Protection Trust and PBS Books to produce “Investing: What’s New & What’s Not” virtual event to live stream on the Department’s Facebook page, click here, on Friday, April 23, 2021, at 11:00 a.m. MST.
March 24, 2021
Denver (CO) – March 24, 2021 —The Colorado Division of Securities (the “Division”) is partnering with the Investor Protection Trust, Detroit Public Television, and PBS Books to produce “The COVID Effect: Restoring Financial Wellness” virtual event to live stream on the Division’s Facebook page, (https://www.facebook.com/Dora.Colorado.gov), on Friday, March 26, 2021. at 11:00 a.m. MST.
March 16, 2021
DENVER - March 15, 2021 —The Colorado Division of Securities (the “Division”), other state regulators, and the Commodity Futures Trading Commission (CFTC) recently filed a joint civil enforcement action against Metals.com, Tower Equity, Chase Metals, Barrick Capital and other associated parties. The defendants are accused of perpetrating a fraudulent precious metals investment scheme allegedly…