nd.gov - The Official Portal for North Dakota State Government
North Dakota: Legendary. Follow the trail of legends
Is it too good to be true? The North Dakota Securities Department is responsible for the enforcement of the North Dakota securities laws (N.D.C.C. 10-04) that protect citizens from dishonest investment practices, and...
Knowing how to invest your money is important.  Being an informed investor means having a plan and understanding each of your investments.  Learn about investing wisely, avoiding fraud and knowing your rights as an investor.
All persons who propose to sell securities and offer investment advice must be properly registered in order to conduct business in North Dakota.
Under the North Dakota Securities Act all securities sold in the state must be registered with the Department or properly exempted from registration.
Any company that intends to offer or sell a franchise in North Dakota or to any North Dakota resident must first register its franchise offering with the Securities Department as defined by the (NDFIL) 51-19.

Commissioner Karen Tyler

North Dakota Securities Commissioner, Karen Tyler

Welcome to the North Dakota Securities Department website. The mission of the Department is to protect the North Dakota investor through the administration of state securities laws and rules. The Securities Department is responsible for regulating the offer and sale of securities in North Dakota. We register and monitor the firms and individuals selling securities or providing investment advice to North Dakotans, and we register securities offered and sold in the state. Through our investor education programs and resources, we strive to help North Dakotans make informed investment decisions, avoid fraud and build financial security.

 

Other Securities Regulators

Recent News

Western North Dakota Students Make Sense of Finance With Sketch Comedy

Middle school students across North Dakota will learn skills crucial to financial literacy as they participate in sketch...

Event: Investment Fraud Seminars to Be Held in 6 Cities

Fraud with magnifying glass

Do you know the warning signs of investment fraud? Have transactions occurred in your investment account that you did not...

Investor Alerts

Virtual Currency: It pays to know what’s in your e-Wallet

This advisory is to make investors aware about the potential risks of investments involving Bitcoin and other forms of virtual currency.

Making Sense of Financial Professional Titles

This advisory is issued to help investors better understand the titles used by financial professionals.

Informed Investor Advisory: Energy Investments

Energy Investments carry unique risks and are not appropriate for all investors.  Learn how to protect yourself from con-criminals who exploit the latest headlines to push energy investment fraud.

Financial Professionals Advisory: It pays to understand the different roles of financial professionals

This advisory provides basic information on three types of financial services professionals and their obligations to you as a client: broker-dealer agents, investment adviser representatives, and financial planners.

Are you an informed investor? Crowdfunding

Previously a donation based funding tool for small businesses, Congress has now created an investment based option.  Learn the risks of crowdfunding for both businesses and investors.

Background Check

Check Mark

To protect yourself, check your broker's record. Learn more on the registration status and complaints of agents and firms.

National Fraud Trends

Crowdfunding and Internet Offers
The 2012 JOBS Act makes significant changes to the methods...
Private Offerings
Fraudulent private placement offerings continue to rank as...
Proxy Trading Accounts
Investors should be wary of individuals who claim to have...
Real Estate Investment Schemes
The popularity of investments involving distressed real...
Inappropriate Advice or Practices from Investment Advisers
Investment advisers are licensed to give specific...
Digital Currency
Virtual reality may exist only in science fiction, but...
High-Yield Investment and Ponzi Schemes
Retail investors chasing yield often find themselves...
Scam Artists Using Self-Directed IRAs to Mask Fraud
Scam artists, forever on the lookout for new ways to entice...
Affinity Fraud
Marketing a fraudulent investment scheme to members of an...
EB-5 Investment-for-Visa Schemes
An immigration program linked to job-creation is growing in...
Scam Artists Using Self-Directed IRAs to Mask Fraud
Scam artists are using self-directed individual retirement...
Gold and Precious Metals
The hype surrounding gold, silver and other precious metals...
Risky Oil and Gas Drilling Programs
Investors considering alternatives to traditional...
Risky Oil and Gas Drilling Programs
Investors exploring alternatives to traditional securities...
Promissory Notes
Promissory notes are often promoted as a safe and secure...
Real Estate Investment Schemes
As news has spread of a possible bottom being reached in...
Regulation D Rule 506 Private Offerings
In the most recent survey of state securities regulators,...
Unlicensed Salesmen Giving Liquidation Recommendations
As in years past, the liquidation of securities by...

North Dakota Securities Department Logo

ND Securities Department
600 East Boulevard Avenue
State Capitol, 5th Floor
Bismarck, ND 58505-0510
Phone: (701)-328-2910
Toll Free: (800)-297-5124
Fax: (701)-328-2946
Grafton Office
701 W 6th Street, #312
Grafton, ND 58237
Phone: 701-352-4592