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Karen Tyler

Commissioner
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

Investor Alerts

North Dakota Securities Department Investor Alerts

The North Dakota Securities Department provides a variety of educational resources to educate and address problems you may face as an investor. Our Investor Alerts focus on recent investment frauds and scams and issued for your protection.   Additional alerts and bulletins are provided on the U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) websites identified below as a service to investors.  

If you have any questions concerning a particular alert, please contact the North Dakota Securities Department.

Aug 30 2016 EB-5 Fraud: Immigrant Investors Beware

What is the EB-5 Program?
 

May 26 2016 Investor Advisory: Crowdfunding

The Internet has become an inexpensive and easy way for individuals and businesses to raise money.

May 26 2016 Small Business Advisory: Crowdfunding

The Jumpstart Our Business Startups (JOBS) Act, a series of legislative provisions intended to facilitate capital formation in the United States, was signed into law in 2012. This legislation included the CROWDFUND...

May 18 2016 Master Limited Partnerships--An Introduction

The Securities and Exchange Commission's Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors understand Master Limited Partnerships, or MLPs.  Because investing in an MLP may...

Dec 11 2015 Third-Party Asset Recovery Companies: Are They Advocating for You?

Victims of investment scams are wise to use caution if approached by companies promising to help them recover their lost investment funds and bring the perpetrators to "justice."  A third-party asset recovery company...

Dec 02 2015 Investor Bulletin: Exchange Traded Notes (ETNs)

The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about exchange-traded notes (“ETNs”).  ETNs are unsecured debt obligations of financial institutions that trade on...

Dec 02 2015 Variable Annuities-- An Introduction

The SEC’s Office of Investor Education and Advocacy is issuing this bulletin to educate investors about variable annuities and how they work. Variable annuities are complex products, and this Investor Bulletin focuses...

Nov 20 2015 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.

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Other Investor Alert Sources