Notice of Exemption

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