nd.gov - The Official Portal for North Dakota State Government
North Dakota: Legendary. Follow the trail of legends

Karen Tyler

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
Grafton Office
701 W 6th Street, #312
Grafton, ND 58237
Phone: 701-352-4592

Education Publications

The Consumer Financial Protection Bureau (CFPB) recently released its 2019 Financial Literacy Annual Report. The report describes the CFPB’s financial literacy strategy and the activities it has undertaken or continued over the past year to enhance financial literacy and financial capability. The CFPB’s strategy to improve financial literacy included seeking to provide assistance to consumers at important points in their financial lives and moving forward on research to identify effective approaches to financial education and better define the metrics for success. 

Investor Bill of Rights

When You Invest, You Have the Right to...

When Your Broker Calls, Take Notes!

A two-page form for investors to take notes when they talk with their broker. The form provides basic questions investors should ask their securities salesperson, checkoff boxes and ample space to take notes.

ABCs for APS Professionals

APS professionals can help spot and stop the financial exploitation of seniors by knowing what signs to look for and who to call for assistance.

Franchise Funds Packet (8.467 MB pdf)

NASAA Enforcement Report - 2019 Report on 2018 Data

The North American Securities Administrators Association (NASAA) conducts an annual survey of its U.S. members to gather enforcement data, to clarify trends in securities fraud and investor protection, and to elucidate other regulatory issues. This year, 49 U.S. jurisdictions responded to the survey request. The data, statistics and trends included in this summary give a general overview of state enforcement efforts for the 2018 fiscal or calendar year. This report undoubtedly undercounts many statistics since it does not include enforcement statistics from every jurisdiction on each survey question posed. 

The Stock Market Game

The North Dakota Securities Department coordinates and sponsors the Stock Market Game (SMG) in North Dakota.