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DENVER — December 22, 2025 — On December 16, 2025, the Arapahoe County District Court sentenced Raymond Kim of Centennial, Colorado, to two 8-year terms of incarceration, to be served concurrently, with three years of parole. Mr. Kim was also ordered to pay $812,004 in restitution. The sentence related to Mr. Kim’s September 2025 guilty plea of securities fraud.This criminal sentencing is,…
Division Announces 2026 Examination PrioritiesPreparing for an exam can feel overwhelming, but the Division’s recently released 2026 Examination Priorities can help! This resource highlights areas staff plans to focus on based on commonly identified and/or high-risk deficiencies revealed during examinations. The key areas staff encourages advisers to consider in 2026 include:Written suitability…
Notice of Proposed Rulemaking to Extend Exam ValidityOn October 8, 2025, Colorado Securities Commissioner Tung Chan filed a notice of proposed rulemaking to adopt the North American Securities Administrators Association’s (NASAA) Exam Validity Extension Program (EVEP) and the Financial Industry Regulatory Authority's (FINRA) Maintaining Qualifications Program (MQP). The programs would allow…
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