Industry Registration

Handshake between to business people

Registration requirements, fees and forms for Broker-Dealer and agents
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Red graph on newsprint

Registration requirements, fees and forms for State registered Investment Advisors and representatives.
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Investment Advisers notice filers. Policies, forms and requirements.
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Who Must Register

All persons who propose to act as broker-dealers and agents for the offer and sale of a security must be registered. Also, persons who are in the business of providing investment advice or making recommendations regarding the investing in, purchasing or selling of securities, and are charging a fee for this service, must be registered or notice filed as an investment adviser and registered as an investment adviser representative.

Definitions for Broker-Dealers, Agents, Investment Advisers and Investment Advisor Representative can be found under 10-04-02 of the North Dakota Securities Act.

Registration requirements for Broker-Dealers, Agents, Investment Advisers, and Investment Adviser Representatives can be found under 10-04-10 of the North Dakota Securities Act.

Department Contacts

Industry Registration Contact (Jacqui)

Jacqui Ferderer

Administrative Assistant / Registration Examiner
600 East Boulevard Avenue State Capitol, 5th Floor
Bismarck, ND 58505-0510
Phone:
(701) 328-2987
Toll Free:
(800) 297-5124
Fax:
(701) 328-0124