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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.
- Alerts, Press Releases, and Articles
- Boards and Public Notices
The Colorado Office of Policy, Research and Regulatory Reform is currently conducting a sunset review of the Division of Securities and the Securities Advisory Board. Analysis is performed to determine if the Division and Board are necessary and should be continued, modified, or repealed. To provide input on this review, please visit COPRRR's website.
Newsroom
January 21, 2025 -- Colorado Securities Commissioner Tung Chan, a member of the North American Securities Administrators Association (NASAA), has joined a $17 million settlement with Edward D. Jones & Co., L.P. (Edward Jones).
January 17, 2025 -- Colorado Securities Commissioner Tung Chan today announced that Colorado joined a taskforce of state securities regulators and the United States Securities and Exchange Commission (SEC) in a $106 million settlement with Vanguard Marketing Corporation (VMC) and The Vanguard Group, Inc. (Vanguard).
Press Release: Permanent Injunction Entered Against Denver Man for Alleged Romance Investment Scheme
December 17, 2024 -- Colorado Securities Commissioner Tung Chan and Joseph G. Holder Jr. of Denver, aka JR Holder, agreed to a stipulated entry of permanent injunction related to allegations of a romance scam to defraud women.