Press Release

Denver (CO) – May 17, 2022 – Court Freezes Assets and Appoints Receiver in Elaborate Securities Scheme Run by Westminster Man

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.

Denver (CO) – January 11, 2021 – The Colorado Division of Securities (“Division”) released its 2022 investment adviser examination priorities.

DENVER - The Colorado Division of Securities is partnering with the Investor Protection Trust and PBS Books to produce “The End-of-Year Financial Checklist” virtual event to livestream on the DORA’s Facebook page, (https://www.facebook.com/Dora.Colorado.gov/) on Friday, December 17, 2021 at 11:00 a.m. MST

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.

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.

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, (https://www.facebook.com/Dora.Colorado.gov/), on Friday, October 22, 2021 at 11:00 a.m.

DENVER, CO – August 25, 2021 - The Colorado Division of Securities (the “Division”) is partnering with the Investor Protection Trust and PBS Books to produce the Boomers to Zoomers series which consists of 12 free monthly virtual live stream events and recordings to help the public learn about saving and investing.

DENVER, CO – August 18, 2021. - The Colorado Division of Securities (the “Division”) warns FINRA member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using one of at least three imposter FINRA domain names: “@finrar-reporting.org” “@Finpro-finrar.org” “@gateway2-finra.org”

DENVER, CO – July 21, 2021. - The Colorado Division of Securities (the “Division”) is partnering with the Investor Protection Trust and PBS Books to produce the Boomers to Zoomers series which consists of 12 free monthly live stream events and recordings to help the public learn about saving and investing. This month’s event, “Financial Freedom – Declare the Life You Want,” will provide guidance to investors and their families on how to free themselves from financial burdens and reach their financial goals. The event is the fifth out of the 12-part series. A free recording will be available on the Division’s website and on pbsbooks.org/when-im-65, along with a variety of tools and resources for savers and investors of all ages and at all stages of life.