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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.

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.

Sep 30 2015 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...

Sep 30 2015 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.

Sep 04 2015 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...

May 08 2015 Automated Investment Tools

The SEC’s Office of Investor Education and Advocacy (OIEA) and the Financial Industry Regulatory Authority, Inc. (FINRA) are issuing this alert to provide investors with a general overview of automated investment tools....

Nov 26 2014 Third-Party Custodians of Self-Directed IRAs and Other Qualified

This advisory issued is help investors separate fact from fiction regarding the responsibilities of third-party custodians of self-directed individual retirement accounts (IRAs) and other qualified plans. 

Nov 26 2014 HIGH-YIELD INVESTMENT PROGRAMS: Don't Get Roped In

The advisory includes tips to help investors recognize a high-yield investment program and offers steps investors should take to protect themselves from these scams.

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Other Investor Alert Sources