Colorado State Securities Examiner
The Division of Securities exists to protect investors and maintain confidence in the securities market, while avoiding unreasonable burdens on the marketplace by licensing securities professionals, enforcing securities law violations, and helping Coloradans become more informed investors. The Examination Section work unit serves as an early warning system for investors by ensuring that securities firms are complying with the law and to prevent dishonest and unethical sales practices. This work unit accomplishes this mission through the examination and licensing of securities professionals and ensuring compliance with the securities laws. This work unit conducts field and desk (remote) examinations, or audits, and off-site monitoring of broker-dealers and investment advisers with the purpose of preventing and detecting unlawful behavior, and ensuring compliance with industry standards and rules. The result of the audit can include comment letters, recommendations for corrective action, and referrals to enforcement for revocation of license proceeding, or civil or criminal enforcement actions. The purpose of this work unit includes the licensure of securities broker-dealers, investment advisers, investment adviser representatives, and sales representatives as well as registering securities offerings and exemptions in Colorado.
The purpose of this position is to conduct field examinations, which include examining the books and records of licensees and to answer inquiries from the general public and the industry regarding the Colorado Securities Act, the Colorado Commodity Code, and the Colorado Municipal Bond Supervision Act.