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