Press Release

January 31, 2023 -- The Colorado Division of Securities (the “Division”) released its 2023 investment adviser examination priorities. Publication of the priorities should help advisory firms comply with newly adopted rules and focus attention on common deficiencies when reviewing their compliance programs or preparing for examinations. Examinations serve to protect investors by ensuring that advisers are following the Colorado laws and rules that govern them.

CU Boulder Today - Next time you drive along I-70 near Idaho Springs, you’ll see an eye-catching billboard encouraging smart investing. That’s due to a new collaboration between the Colorado Division of Securities and students in the College of Media, Communication and Information.

DENVER—Geoffrey Wescott James was sentenced on Monday by the Honorable Denver District Court Judge Jennifer Torrington to a 12-year prison sentence and to pay more than $5,000,000 in restitution after pleading guilty in September to violating Colorado’s Organized Crime Control Act (F2) and to theft (F3).

The Colorado Division of Securities (the “Division”) recently published a revised “Ongoing Financial Planning Guide.” This revised Guide includes updates and clarifications to the original version published in March 2022.

Denver (CO) – November 1, 2022 – The Colorado Division of Securities will be adjusting licensing fees to keep the Division in compliance with statutory requirements to maintain sufficient revenue.

Denver (CO) – October 7, 2022 – Colorado Division of Securities Warns of Romance Scams on the Rise

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