How Can I Research an Investment?
The purpose of the Colorado Securities Act is to “protect investors and maintain public confidence in securities markets while avoiding unreasonable burdens on participants in capital markets.” 11-51-101(2) C.R.S. The Securities Fraud Unit vigorously prosecutes criminal violations of the Colorado securities laws.
The Securities Fraud Unit is part of a greater framework that exists to combat investment fraud and ensure a safe environment for investors. Agencies such as the Securities and Exchange Commission (SEC), Colorado Division of Securities, and the Financial Industry Regulatory Authority (FINRA) provide critical oversight of brokerages, investment advisors, and other participants in the capital markets. In addition, they examine regulated entities for compliance with securities laws and require the registration of certain investments.
Always make sure you fully understand the nature of the instrument or investment you are considering. In addition, research your brokerage, dealer, representative or advisor for the investment through the following sources:
- The Colorado Division of Securities
- The Securities and Exchange Commission
- Financial Industry Regulatory Authority (FINRA)
If you have become a victim of investment fraud or if you wish to report suspicious activity, please file a report here.