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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

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About the Division

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About the Examination Section

Investor Education Information

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Newsroom

February 8, 2021
Denver – February 8, 2021 - The Colorado Division of Securities (“Division”) released its 2020-2021 investment adviser examination priorities. Publication of the priorities should help advisory firms focus attention on common deficiencies or particular industry risks when reviewing their compliance programs or preparing for examinations. Examinations serve to protect investors by ensuring that…
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.