Securities Home


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.


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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

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Colorado Securities Board

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October 28, 2021
Denver (CO) – October 26, 2021 – The Colorado Division of Securities (the “Division”) has released an Investment Adviser Guide to assist state-licensed investment adviser firms in their compliance with the Colorado Securities Act and Rules.
October 21, 2021
Denver (October 21, 2021) – The Colorado Division of Securities will be adjusting licensing fees to keep the Division in compliance with statutory requirements to maintain sufficient revenue. This year, the fees have decreased and will be the lowest in the nation. The Division remains committed to keeping fees as low as possible.
October 20, 2021
DENVER, CO – October 20, 2021 - The Colorado Division of Securities is partnering with the Investor Protection Trust and PBS Books to produce “Financial Fraud: Disguises to Watch Out For,” a virtual event to livestream on DORA’s Facebook page, (, on Friday, October 22, 2021 at 11:00 a.m.