To protect investors and maintain public confidence in the securities markets while avoiding unreasonable burdens on participants in the capital markets.
Welcome to the Colorado Division of Securities (the "Division") Home Page. The Division is a unit of the Colorado Department of Regulatory Agencies.
In this capacity, the Division is responsible for the administration and enforcement of the:
Colorado Securities Act
Colorado Commodity
Code
Colorado Municipal Bond Supervision Act, and
the Local
Government Investment Pool Trust Fund Administration and Enforcement
Act
and the rules and regulations promulgated thereunder.
The Division licenses and regulates stockbrokers and investment advisers (often referred to as "financial planners") and the securities investments they offer, sell, and advise about in Colorado.
This web site offers current information to broker-dealers, sales representatives, and issuers regarding securities regulation in Colorado. This site also includes information for investors to assist them in making sound and reasoned investment decisions.
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Investment Adviser Coordinated Review Process
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Notice Regarding the Upcoming Switch of Regulatory Oversight of Investment Advisers from the
SEC to Colorado
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The Switch General Guidance and Instruction for Investment Advisers switching from SEC to Colorado
The Switch PowerPoint Presentation (Open and press F5)
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Personal Finance for Military Families
Your One-Stop Guide to a Secure Financial Future
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PROTECT YOURSELF FROM INVESTMENT FRAUD
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Click Here to
Test |
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Before You Invest, Check With The
Financial Industry Regulatory Authority (FINRA)
Challenge your Investor-Awareness Skills. Play the new Scam Game provided by the Colorado Department of Regulatory Agencies, Division of Securities.
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You may Subscribe to any of the following Notifications Services and an email message will be sent to you whenever the Securities Division posts meeting notices, rule changes and investment adviser licensing information.
After you subscribe, you will receive an email message confirming that you are the intended subscriber. Please be sure and answer that message.
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