Forms

Fillable Forms and Resources

  • This site supports Fillable PDF forms and can be found by searching by the state form number (SFN), title or agency that owns the form.
  • Definitions:
    • Internal Forms: Forms used by customers internal to North Dakota State Government.
    • Public Forms: Forms used by the general public or entities external to North Dakota State Government
Important: These forms MUST be downloaded to function properly (may contain automatic calculations, field validations, tab order, etc.). Using the PDF viewer within the browser disables this functionality.

Securities Department - Public Form(s)

SFNTitleSizeDateFillable
52009 ACCREDITED INVESTOR EXEMPTION 1769 kb 08/01/2023 Y
53495 AFFIDAVIT OF BROKER/DEALER ACTIVITY 902 kb 06/07/2021 Y
53494 AFFIDAVIT OF INVESTMENT ADVISORY ACTIVITY 357 kb 06/07/2021 Y
53493 AFFIDAVIT OF ISSUER/DEALER ACTIVITY 361 kb 06/07/2021 Y
54147 APPL FOR REGISTRATION OF SECURITIES BY ANNOUNCEMENT-SECONDAR 439 kb 06/07/2021 Y
51529 APPLICATION FOR REGISTRATION OF AGENT 1185 kb 01/27/2022 Y
52427 APPLICATION FOR REGISTRATION OF SECURITIES BY QUALIFICATION 611 kb 06/07/2021 Y
14927 COMPLAINT FORM 562 kb 06/07/2021 Y
2520 DEALER-INVESTMENT ADVISOR INDEMNITY BOND 365 kb 06/07/2021 Y
53451 ESCROW AGREEMENT 479 kb 06/07/2021 Y
51951 IMPOUNDMENT AGREEMENT 448 kb 06/07/2021 Y
51949 ISSUER EXEMPTION APPLICATION 672 kb 06/07/2021 Y
51954 ISSUER EXEMPTION FINAL REPORT OF SALES 360 kb 06/07/2021 Y
51532 ISSUER-DEALER/AGENT RENEWAL APPLICATION 1116 kb 12/22/2021 Y
51717 LIMITED OFFEREE EXEMPTION APPLICATION 579 kb 06/07/2021 Y
51953 LIMITED OFFEREE EXEMPTION FINAL REPORT OF OFFERS AND SALE 341 kb 06/07/2021 Y
62033 MUNICIPAL SECURITY NOTICE FILING 253 kb 04/19/2022 Y
51969 NONPROFIT ORGANIZATION CLAIM OF EXEMPTION - FORM NP 518 kb 06/07/2021 Y
53506 OERRING CIRCULAR GUIDELINES 805 kb 06/07/2021 Y
51531 PRE-NEED FUNERAL CONTRACT SALES ANNUAL REPORT 856 kb 06/07/2021 Y
53380 PRE-NEED FUNERAL SERVICE CONTRACT BOND 407 kb 06/07/2021 Y
53742 RECISSION OFFER - FORM RO 445 kb 06/07/2021 Y
51950 SOLICITATION OF INTEREST FORM 400 kb 06/07/2021 Y