Press Release

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.

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

December 14, 2021 -- 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

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.

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.

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.

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.

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.

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.

June 22, 2021 -- The Colorado Division of Securities 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.