Covid-19 News
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 counsel that the Department will be following the guidance recently issued by the NASAA Franchise...
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 Securities Department reminds financial professionals and the public throughout North Dakota that...
COVID-19-RELATED INVESTMENT SCHEMES ANTICIPATED: State Securities Regulators Outline Fraud Expectations, Provide Investor Protection Guidance
Bismarck ND – Amid the ongoing COVID-19 pandemic, securities regulators continue to urge investors to be on guard against an anticipated surge of fraudulent investment schemes.
Emergency Notice No. 2020-03 Temporary Relief from Notary Attestation for Registants and Other Filers Affected by the COVID-19 Outbreak Granted by the Commissioner
EMERGENCY NOTICE No. 2020-03 | April 2, 2020
Temporary Relief from Notary Attestation for Registrants and Other Filers Affected by the COVID-19 Outbreak Granted by the...
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.D.C.C. § 51-19-17(3)(a)
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 Document Delivery Requirements by State-Registered Investment Advisers