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

June 15, 2021
Denver (CO) – June 15, 2021 —In recognition of World Elder Abuse Awareness Day on June 15, the Colorado Division of Securities (the “Division”) reminds financial professionals and the public throughout Colorado to be on the lookout for signs of elder financial abuse, including potential exploitation by guardians.
May 25, 2021
Denver (CO) – May 25, 2021 —The Colorado Division of Securities (the “Division”) is partnering with the Investor Protection Trust and PBS Books to produce the “Retirement Readiness for Military Families” virtual event to live stream on Friday, May 28, 2021, at 11:00 a.m. MST.
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.