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• Fred J. Joseph
  Banking and Securities Commissioner

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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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Form D Filing Information

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Investment Adviser Coordinated Review Process

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Investment Adviser Interpretive Order - March 30, 2012

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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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Information covered in Securities Division ADV Part 2A-2B Seminars for those who were not able to attend

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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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Beware Of The Black Box

Your House Is Not A Piggy Bank!

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Gold Scam Alert From FINRA

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SCAM METER Risk Meter Click Here to Test Your self and your Deal

Red Flags to Avoid When Investing Too Good to be True Do It Now - Can't Wait! Will "Go Public" Soon! "Guaranteed" Return Re-Coup Your Past Losses! No-One Else Knows About this Yet!

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.

Email Notification Lists

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.

Email address:
(optional) Your name:
	Investment Adviser Municipal Bond Board Securities Board Securities Rules

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To Un-Subscribe, enter your email address in the following box and select the list you wish to be un-subscribed from.

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	Investment Adviser Municipal Bond Board Securities Board Securities Rules