To protect investors and maintain public confidence in the securities markets while avoiding unreasonable burdens on participants in the capital markets.
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Before You Invest, Check the
Financial Industry Regulatory Authority
Securities Division In The News
Denver Business Journal |
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| Denver Post | Colorado Springs company accused of rigging drilling deals |
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SCAM METER
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Form D filing information
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Personal Finance for Military Families
Your One-Stop Guide to a Secure Financial Future
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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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The following program is a tool to aid in the education of students as well as to enable potential investors in avoiding investment scams.
 FSI stands for "Fraud Scene Investigator," an interactive investor education program that teaches and empowers students how to detect and stop investment fraud using a resource they’re most familiar with-the Internet. › www.nasaa.org |
Welcome to the Colorado Division of Securities (the "Division") Home Page. The Division is a unit of the Colorado Department of Regulatory Agencies. The mission of the Division is to protect investors and maintain public confidence in the securities markets while avoiding unreasonable burdens on participants in the capital markets.
In this capacity, the Division is responsible for the administration and enforcement of the Colorado Securities Act, the Colorado Commodity Code, the 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.
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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