nd.gov - The Official Portal for North Dakota State Government
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Enforcement & Investment Fraud
Enforcement & Investment Fraud
https://brokercheck.finra.org/Is it too good to be true? The North Dakota Securities Department is responsible for the enforcement of the North Dakota securities laws (N.D.C.C. 10-04) that protect citizens from dishonest...
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Investor Education & Resources
Investor Education & Resources
Knowing how to invest your money is important.  Being an informed investor means having a plan and understanding each of your investments.  Learn about investing wisely, avoiding fraud and knowing your rights as an investor.
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Industry Registration
Industry Registration
https://www.legis.nd.gov/cencode/t10c04.pdf#nameddest=10-04-02All persons who propose to sell securities and offer investment advice must be properly registered in order to conduct business in North Dakota.
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Securities Registration
Securities Registration
Under the North Dakota Securities Act all securities sold in the state must be registered with the Department or properly exempted from registration.
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Franchise Registration
Franchise Registration
Any company that intends to offer or sell a franchise in North Dakota or to any North Dakota resident must first register its franchise offering with the Securities Department as defined by the (NDFIL) 51-19.
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Commissioner Karen Tyler

North Dakota Securities Commissioner, Karen Tyler

Welcome to the North Dakota Securities Department website. The mission of the Department is to protect the North Dakota investor through the administration of state securities laws and rules. The Securities Department is responsible for regulating the offer and sale of securities in North Dakota. We register and monitor the firms and individuals selling securities or providing investment advice to North Dakotans, and we register securities offered and sold in the state. Through our investor education programs and resources, we strive to help North Dakotans make informed investment decisions, avoid fraud and build financial security.

 

Other Securities Regulators

North American Securities Administrators Association (NASAA) Other State Regulators

U.S. Securities and Exchange Commission (SEC)

Financial Industry Regulatory Authority (FINRA)

Recent News

Notice Regarding Historical Financial Performance Representations During the COVID-19 Pandemic

BISMARCK, ND  (June 17, 2020) –  The Securities Department is issuing this notice to inform franchisors and their...

ND Securities Department Recognizes World Elder Abuse Awareness Day: Warns of Risks of Investment Fraud Among Seniors Due to Increased Isolation During COVID-19

Bismarck ND –  In recognition of World Elder Abuse Awareness Day (WEAAD) on June 15, North Dakota...

Investor Alerts

COVID-19-RELATED INVESTMENT SCHEMES ANTICIPATED: State Securities Regulators Outline Fraud Expectations, Provide Investor Protection Guidance

COVID-19-RELATED INVESTMENT SCHEMES ANTICIPATED:

State Securities Regulators Outline Fraud Expectations, Provide Investor Protection Guidance

Informed Investor Advisory: Affinity Fraud

Are you an informed investor?

How Blind Trust Can Break the Bank

 

Be Cautious of the Crypto Investment Craze

Cryptocurrencies burst into the investing mainstream in 2017 as the values of some virtual coins and tokens skyrocketed, led by Bitcoin. Mainstream media now feature daily coverage of new cryptocurrencies, coin...

What to Know about ICOs

Initial Coin Offerings (ICOs) are attracting investors interested in new trends in technology investing. Regulation of ICOs is evolving and complex.

Securities Commissioner Reminds Investors to Approach Cryptocurrency with Caution

Bismarck, ND, January 4, 2018— With cryptocurrencies continuing to attract headlines, Securities Commissioner Karen Tyler today reminded North Dakota investors to be cautious about investments involving...

Background Check

Check Mark

To protect yourself, check your broker's record. Learn more on the registration status and complaints of agents and firms.

National Fraud Trends

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Proxy Trading Accounts
Investors should be wary of individuals who claim to have...
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Crowdfunding and Internet Offers
The 2012 JOBS Act makes significant changes to the methods...
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Private Offerings
Fraudulent private placement offerings continue to rank as...
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Digital Currency
Virtual reality may exist only in science fiction, but...
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Real Estate Investment Schemes
The popularity of investments involving distressed real...
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Inappropriate Advice or Practices from Investment Advisers
Investment advisers are licensed to give specific...
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High-Yield Investment and Ponzi Schemes
Retail investors chasing yield often find themselves...
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Scam Artists Using Self-Directed IRAs to Mask Fraud
Scam artists, forever on the lookout for new ways to entice...
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Affinity Fraud
Marketing a fraudulent investment scheme to members of an...
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EB-5 Investment-for-Visa Schemes
An immigration program linked to job-creation is growing in...
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Scam Artists Using Self-Directed IRAs to Mask Fraud
Scam artists are using self-directed individual retirement...
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Gold and Precious Metals
The hype surrounding gold, silver and other precious metals...
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Risky Oil and Gas Drilling Programs
Investors exploring alternatives to traditional securities...
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Risky Oil and Gas Drilling Programs
Investors considering alternatives to traditional...
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Promissory Notes
Promissory notes are often promoted as a safe and secure...
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Real Estate Investment Schemes
As news has spread of a possible bottom being reached in...
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Regulation D Rule 506 Private Offerings
In the most recent survey of state securities regulators,...
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Unlicensed Salesmen Giving Liquidation Recommendations
As in years past, the liquidation of securities by...
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North Dakota Securities Department Logo

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
Email: ndsecurities@nd.gov
Grafton Office
701 W 6th Street, #312
Grafton, ND 58237
Phone: 701-352-4592