Investor Education

Investor Education Resources

The Division of Securities seeks to educate Coloradans to be smart investors, financially literate, and to identify and report potential investment fraud. This section of our website provides resources to specific types of investors including seniors, military families, those victimized by affinity fraud, students, and general financial literacy. We provide education through press releases, consumer alerts, presentations, webinars, workshops/events, and publication materials. Please feel free to contact the Division if you would like to request any additional resources or a virtual presentation. 

Press Releases, Articles, and Alerts

September 6, 2023
DENVER, CO – September 1, 2023 - The Colorado Division of Securities (“Division”) is issuing this Adviser Alert to provide regulatory guidance to investment advisers who utilized TD Ameritrade (TDA) to custody clients’ assets. The conversion of TDA accounts to Charles Schwab & CO., Inc. (SCH) is scheduled to be completed by September 5, 2023, at which time TD Ameritrade will cease to exist.…
August 2, 2023
Colorado Securities Commissioner Tung announced that investors that purchased retail precious metals from Lear Capital will receive compensation as a part of Lear’s bankruptcy plan. State securities regulators had been investigating Lear for deceptive securities and commodities activities and misleading marketing at the time of the company’s bankruptcy.
May 10, 2023
The Colorado Division of Securities’ (“Division”) is issuing this Adviser Alert to bring attention to the risks of inverse and leveraged ETFs and the short-term and volatile nature of these complex products.