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
Recent News
EMERGENCY NOTICE No. 2020-02 Temporary Relief for Franchise Registrants Affected by the COVID19 Outbreak Granted
Temporary Relief for Franchise Registrants Affected by the COVID-19 Outbreak Granted by the Commissioner under N....
EMERGENCY NOTICE No. 2020-01 Temporary Relief for Registrants Affected by the COVID-19 Outbreak Granted by the Commissioner under NDCC 10-04-03(2)
I. Relief from Requirement to Obtain Physical Signatures on Forms U4
II. Relief from Annual Update Filings and...
Investor Alerts
Informed Investor Advisory: Affinity Fraud
Are you an informed investor?
How Blind Trust Can Break the Bank
Be Cautious of the Crypto Investment Craze
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...
How Do I...
Background Check
To protect yourself, check your broker's record. Learn more on the registration status and complaints of agents and firms.
National Fraud Trends
Karen Tyler
State Capitol, 5th Floor
