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 if you would like to request any additional resources or a virtual presentation. 

Be Safe - Following retirement, learn how to protect your savings and enjoy your golden years free of financial worries.

Senior $afe

Read about our Senior$afe initiative, aimed at reducing financial fraud and exploitation of senior citizens.

This program seeks to increase reporting of suspected abuse and exploitation to regulators and service agencies through a two-pronged approach. First, educate seniors and their families about the risk factors of abuse from scam artists and fraudsters. Then train bank tellers, investment advisers, and sales representatives on how to spot the red flags of abuse and exploitation, and also provide the proper tools to report.

Press Releases, Articles, and Alerts

January 14, 2021
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…
November 6, 2020
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.
October 22, 2020
The Division presents at the CO Financial Industry Symposium with the SEC, and FINRA.