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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.
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- Enforcement Actions
- Alerts, Press Releases, and Articles
- Boards and Public Notices
- About the Division
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Newsroom
May 17, 2022
Denver (CO) – May 17, 2022 – Court Freezes Assets and Appoints Receiver in Elaborate Securities Scheme Run by Westminster Man
March 23, 2022
Denver (CO) – March 23, 2022– The Colorado Division of Securities (the “Division”) recently published an “Ongoing Financial Planning Guide” to assist investment advisers offering ongoing financial planning services.
January 11, 2022
Alert - The Colorado Division of Securities Announces 2022 Investment Adviser Examination Priorities
Denver (CO) – January 11, 2021 – The Colorado Division of Securities (“Division”) released its 2022 investment adviser examination priorities.
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