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

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2020-2021: Alerts, Press Releases, and Articles

Archived: Alerts, Press Releases, and Articles

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Open Embed


January 14, 2021
Denver – The Colorado Division of Securities (DOS) a division of the Department of Regulatory Agencies (DORA), announced today that financial service registrants, particularly state-registered investment advisers and intrastate broker-dealers, should be aware of any impact that the breach of SolarWinds may have had on their firms and to report any such related issues to their primary securities…
November 6, 2020
Effective December 1, 2020, The Colorado Division of Securities has announced that it will be expanding online filing capabilities, making it easier for issuers to submit a greater range of corporation finance materials used for capital raises.
October 22, 2020
The Division presents at the CO Financial Industry Symposium with the SEC, and FINRA.