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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
Email: ndsecurities@nd.gov

Jennifer Kurtz

Investigator
600 East Boulevard Avenue
State Capitol, 5th Floor
Bismarck, ND 58505-0510
Phone: (701) 328-2926
Toll Free: (800) 297-5124
Fax: (701) 328-0148
Email: jkurtz@nd.gov
Grafton Office
701 W 6th Street, #312
Grafton, ND 58237
Phone: 701-352-4592

Industry Registration

Broker-Dealers and Agents
Handshake between to business people

Registration requirements, fees and forms for Broker-Dealer and agents

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Investment Adviser & Investment Adviser Representatives
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Registration requirements, fees and forms for State registered Investment Advisors and representatives.

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Investment Adviser Notice Filers
Person signing a form with a pen

Registration requirements, policies and forms for Investment Adviser Notice Filers. 

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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.

Related News

North Dakota Securities Dept Announces IARD System Fee Waiver

Oct 31 2008

Bismarck, ND - The North Dakota Securities Department today announced waivers of the initial set-up and annual system fees paid by investment adviser firms to maintain the Investment Adviser Registration Depository (IARD) system. The Securities Department also announced for the next year waivers of those system fees paid by investment adviser representatives (IARs).

Related Items

Century Code

N.D.C.C. 10-04 - Securities Act

The North Dakota Securities Department administers and enforces the North Dakota Securities Act, N.D.C.C. Chapter 10-04, by registering securities; reviewing exemptions; issuing no-action letters and interpretive opinions; and licensing broker-dealers and their agents, and investment advisers and their representatives.  The Securities Department investigates complaints alleging violations of the Securities Act and rules and if violations are found, the Securities Commissioner may bring an administrative or civil action or make a referral for criminal prosecution.

N.D.C.C. 10-04-02 - Definitions

N.D.C.C. 10-04-10 - Registration Requirements

Links

crd.finra.org

Investment Advisor Registration Depository

Forms

Affidavit of Broker-Dealer Activity

Affidavit of Investment Advisor Activity

Uniform Application for Investment Advisers