Notice Regarding Division of Securities Operations

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Regarding the ongoing developments related to the coronavirus (COVID-19) situation, I
want to make you aware of what steps the Colorado Division of Securities is taking to
keep our staff and our stakeholders as safe as possible.
As of today:

  • The offices of the Colorado Division of Securities remain open, but most of the staff are teleworking from home.
  • You may reach the staff via their state email or by leaving them a voicemail message on their state office line. All staff will be responding to email and voicemail messages throughout the day every business day during this telework period. Relevant contact information is attached.
  • Licensing staff are continuing to process licensing/registration applications through the CRD/IARD systems. Requests for supplemental information may be submitted via email.
  • Field examiner staff are conducting streamlined, remote examinations using phone and email correspondence in lieu of traditional on-site examinations during this time.
  • Enforcement staff also are limiting in-person contacts with witnesses and regulatory partners, taking advantage of phone, email, and other forms of telecommunications technology to complete their work in a virtual environment.
  • We are sensitive to the challenges that the crisis has created for our licensees and our constituents. Please know that our staff will be responsive and receptive to requests for extensions and other appropriate forms of regulatory relief arising from service and staff disruptions occasioned by COVID-19.

We are following all directives and guidance issued by Governor Polis related to COVID-19, including those related to travel and public gatherings. For this reason, outreach presentations are being postponed and staff are abstaining from professional conferences and training programs, which are being canceled or postponed in large part due to social distancing efforts to reduce viral impact.

For your safety and that of our staff, we ask you to please refrain from unscheduled walk-
in visits to the office. Please work directly with agency staff via telephone or email on matters requiring staff attention. The situation remains fluid and there may be a point in time when we will take additional steps to protect the health of both our employees and the public.

Important information on COVID-19 is available at Related regulatory information is available on the agency’s website. Additional securities regulatory information related to COVID-19 for jurisdictions beyond Colorado can be found on the website of the North American Securities Administrators Association, of which the Colorado Division of Securities is a member, at the following
link: Please keep yourself informed and stay safe.

If you have questions or concerns about this message, please don’t hesitate to contact the Division at (303) 894-2320.

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