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News & Events
What's New
Denver – February 18, 2026 – The Colorado Division of Securities adopted new rules extending the validity of licensing exams for up to five years for sales representatives and investment adviser representatives (IARs) if certain criteria are met. The new rules became effective on January 14, 2026.For Sales Representatives, New Rule Adopting FINRA’s Maintaining Qualifications Program (MQP)The…
Denver – February 12, 2026 – In a stipulated agreement with the Colorado Securities Commissioner, Eric Gemelli and his company Market4Caster, LLC, of Golden, Colorado, admitted to unlicensed sales of millions of dollars of securities in violationof the Colorado Securities Act.Denver District Court Judge Christopher Jay Baumann accepted the stipulation and ordered Gemelli and Market4Caster, LLC,…
January 21, 2026 — The Colorado Division of Securities released its 2026 Investment Adviser Examination Priorities. 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 encourage advisers to consider in 2026 include:Written suitability information;Annual compliance obligations;Use of…
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