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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

Notice of Exemption

signing form with a pen

Exemption:

Submit

  1. Cover letter qualifying the financial and experience requirements required by N.D.C.C Section 51-19-04
  2. A clean FDD (Preferably PDF format on CD-ROM or USB flash drive)
  3. $100 filing fee (by check made payable to “North Dakota Securities Department”)

Exemption Renewal:

Submit

  1. Cover letter qualifying the financial and experience requirements required by N.D.C.C Section 51-19-04
  2. A clean FDD (Preferably PDF format on CD-ROM or USB flash drive)
  3. $50 filing fee (by check made payable to “North Dakota Securities Department”)

Exemption Amendment:

As a courtesy file a clean FDD (Preferably PDF format on CD-ROM or USB flash drive)

No filing is required.

Related Items

Century Code

N.D.C.C. 51-19 - NDFIL