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

ND Securities Commissioner Cautions Investors to Be Wary of 'The Next Big Thing' When it Comes to Investing

North Dakota Securities Commissioner, Karen Tyler, today issued an advisory reminding investors to be cautious when...

Cease and Desist issued against Paul De Bastos and North Dakota Bakken Connection

North Dakota Securities Commissioner Karen Tyler has ordered Paul De Bastos and North Dakota Bakken Connection LLC (NDBC...

Investor Alerts

Be Wary of The Next Big Thing in Investments

At first glance, marijuana, binary options, and digital currency appear to have no real connection to one another.

Identity Theft, Data Breaches and Your Investment Accounts

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to provide investors with important steps to take regarding their investment accounts if they become victims of identity theft or a...

Non-traded REITs

The SEC’s Office of Investor Education and Advocacy is issuing this bulletin to educate investors about investing in non-traded REITs.

Understanding Broker-Dealer Fees

Savvy consumers know it is important to compare prices on similar products to get the best value for their money. Wouldn’t it be nice if the same were true when shopping for a broker-dealer firm to...

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