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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
Copyright © 2020 North Dakota Securities Department
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