Press Release

Denver (CO) – April 19, 2021 —The Colorado Division of Securities (the “Division”) part of the Colorado Department of Regulatory Agencies is partnering with the Investor Protection Trust and PBS Books to produce “Investing: What’s New & What’s Not” virtual event to live stream on the Department’s Facebook page, click here, on Friday, April 23, 2021, at 11:00 a.m. MST.

Denver (CO) – March 24, 2021 —The Colorado Division of Securities (the “Division”) is partnering with the Investor Protection Trust, Detroit Public Television, and PBS Books to produce “The COVID Effect: Restoring Financial Wellness” virtual event to live stream on the Division’s Facebook page, (https://www.facebook.com/Dora.Colorado.gov), on Friday, March 26, 2021. at 11:00 a.m. MST.

DENVER - March 15, 2021 —The Colorado Division of Securities (the “Division”), other state regulators, and the Commodity Futures Trading Commission (CFTC) recently filed a joint civil enforcement action against Metals.com, Tower Equity, Chase Metals, Barrick Capital and other associated parties. The defendants are accused of perpetrating a fraudulent precious metals investment scheme allegedly involving 1600 investors and more than $185 million in customer funds.

DENVER - March 04, 2021 — In recognition of National Consumer Protection Week, the Colorado Division of Securities (the “Division”) announces the top investor threats for 2021 as anticipated by state regulators across the country and regulators in Mexico and Canada.

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 advisers are following the Colorado laws and rules that govern them. The priorities list is not meant to cover all matters that will be reviewed in an examination and advisers are required to comply with all applicable rules, which can be found on the Division’s website at Statutes and Rules.

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 regulator.

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.

The Division presents at the CO Financial Industry Symposium with the SEC, and FINRA.

The Colorado Division of Securities will be adjusting license fees to keep the Division in compliance with statutory requirements to maintain sufficient revenue. While the fees have increased, the Division remains committed to keeping fees as low as possible.

The Colorado Division of Securities, a division of the Department of Regulatory Agencies  (DORA), announced today that it is part of a consolidated nationwide enforcement action to disrupt a  fraudulent precious metals scheme that has allegedly solicited more than $185 million from seniors and  other investors.