Enforcement & Investment Fraud

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...
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Investor Education & Resources

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.
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Industry Registration

All persons who propose to sell securities and offer investment advice must be properly registered in order to conduct business in North Dakota.
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Securities Registration

Under the North Dakota Securities Act all securities sold in the state must be registered with the Department or properly exempted from registration.
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Franchise 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.
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Commissioner Karen Tyler

North Dakota Securities Commissioner, Karen TylerWelcome 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.

Recent News

Former Fargo Broker Sentenced In Operation of Ponzi Scheme

Robert H. Medhus, a former securities broker who defrauded 18 clients of over $900,000 in a Ponzi-...

IT PAYS TO UNDERSTAND THE DIFFERENT ROLES OF FINANCIAL PROFESSIONALS

Bismarck, ND  –  In recognition of Financial Literacy Month, the North Dakota Securities Department...

Background Check

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

 

National Fraud Trends

1

Crowdfunding and Internet Offers

The 2012 JOBS Act makes significant changes to the methods...
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1

Private Offerings

Fraudulent private placement offerings continue to rank as...
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1

Proxy Trading Accounts

Investors should be wary of individuals who claim to have...
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2

Real Estate Investment Schemes

The popularity of investments involving distressed real...
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2

Inappropriate Advice or Practices from Investment Advisers

Investment advisers are licensed to give specific...
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2

Digital Currency

Virtual reality may exist only in science fiction, but...
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3

High-Yield Investment and Ponzi Schemes

Retail investors chasing yield often find themselves...
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3

Scam Artists Using Self-Directed IRAs to Mask Fraud

Scam artists, forever on the lookout for new ways to entice...
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4

EB-5 Investment-for-Visa Schemes

An immigration program linked to job-creation is growing in...
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4

Affinity Fraud

Marketing a fraudulent investment scheme to members of an...
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5

Gold and Precious Metals

The hype surrounding gold, silver and other precious metals...
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5

Scam Artists Using Self-Directed IRAs to Mask Fraud

Scam artists are using self-directed individual retirement...
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6

Risky Oil and Gas Drilling Programs

Investors considering alternatives to traditional...
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6

Risky Oil and Gas Drilling Programs

Investors exploring alternatives to traditional securities...
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7

Promissory Notes

Promissory notes are often promoted as a safe and secure...
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8

Real Estate Investment Schemes

As news has spread of a possible bottom being reached in...
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9

Regulation D Rule 506 Private Offerings

In the most recent survey of state securities regulators,...
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10

Unlicensed Salesmen Giving Liquidation Recommendations

As in years past, the liquidation of securities by...
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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