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Coronavirus Disease 2019 (COVID-19) in Colorado: State & National Resources
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What We Regulate
Executive Director's Office
Colorado Securities Industry Workshop
NOTICE: The 2020 Colorado Securities Industry Workshop has been postponed. Please check back for more details as they are available.
About the Event
When and Where
POSTPONED: Thursday, June 25, 2020 at 1560 Broadway, Suite 1900, Denver, CO 80202
9:00-11:30 AM: Morning Session - Regulatory Compliance
1:00-4:00 PM: Afternoon Session - Enforcement Topics
The Colorado Securities Industry Workshop has as its goal the enhancement of communication and collaboration between state regulators and the securities industry when it comes to their joint mission of providing Colorado investors with the best and safest investment services and products. Therefore, this event is an opportunity for transparent and honest interaction about the issues of concern for both regulators and those working in the securities industry.
Attendees will get a thorough picture of what “best practices” look like from the Division’s point of view as it relates to compliance with licensing and registration requirements, updated rules and regulations, and facilitation of routine examinations.
Attendees will also receive a briefing on current enforcement trends, and have the opportunity to make recommendations about how to further weed out bad actors that can tarnish the image of law-abiding securities professionals. Investigators with the division will also provide insight into how a complaint against a licensee is handled, and how decisions are made regarding disciplinary actions or complaint resolution.
Finally, attendees will have the opportunity to hear about regulatory topics of interest, including insight into how Colorado in particular is approaching them, such as elder financial exploitation and cybersecurity protections, as well as emerging products like cryptocurrency, blockchain, and financial technologies. The Division will welcome comments and recommendations about how to work with industry on the changes to the securities field that are forthcoming due to the legislation, technological developments, and client protection concerns moving forward.
Who Should Attend?
SEC & State -Registered Investment Adviser Representatives
Other interested parties or prospective licensees
Continuing Education Credits
Certified Financial Planners (CFP)
- must provide CFP Identification Number and Last 4 Digits of Social Security Number
Also available for
Continuing Legal Education (CLE)
Preparatory Information for Workshop Topics
What to Expect from an Examination Powerpoint
2019 Examination Priorites
Red-line rules from 2017 Rulemaking
Red-Line Rules from 2018 Rulemaking
Division of Securities Cybersecurity Rules
What to Know About ICOs
2019 Colorado Digital Token Act
Consumer Protection Concerns in Virtual Currency Business
Promotion of Securities by Unlicensed Representatives
Real Estate Investments
Senior Investor Issues
Colorado Act to Protect Vulnerable Adults from Financial Exploitation
NASAA Study of Broker-Dealer Senior Practices and Procedures
FINRA Guide to Senior Investor Protection
AARP Guide to Protecting Older Investors: The Challenge of Diminished Capacity
Additional Questions? Contact