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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
Grafton Office
701 W 6th Street, #312
Grafton, ND 58237
Phone: 701-352-4592

Regulation D, Rule 506 Notice Filing Requirements

Signing an application

Effective December 7, 2014

North Dakota now permits issuers offering a security pursuant to Regulation D, Rule 506 to file the notice via the Electronic Filing Depository (EFD) by providing all required information as prescribed by EFD and the appropriate fee in a manner prescribed by EFD.  To register and obtain more information about EFD, visit www.efdnasaa.org.

Effective July 1, 2009

One copy of the new electronic version of the Form D may be filed. It is not necessary that the signature in Part D and Part E of Form D be original.

It is not necessary to include the Form U-2 or the appendix when using the newly adopted Form D.

The notice filing is effective for a period of one (1) year from the date the filing is received by the department.

There is no renewal provision. Should the offering proceed beyond the one (1) year period, it is necessary to re-file the same documents and fee as were originally filed, except Form U-2 which may be incorporated by reference.

No commission or other remuneration may be paid for soliciting any prospective buyer in this state, except to a dealer and agent registered in the state.

The filing fee shall be $100 in the event the filing is made within 15 days after the date of the first sale in the state.

The filing fee shall be $250 in the event the filing is not made within 15 days after the date of the first sale in the state.

Please make check payable to the NORTH DAKOTA SECURITIES DEPARTMENT.

An amendment is to be filed in the event the name of the issuer changes while the filing is in an active status.

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.