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

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

News Archive

2020

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...

REVISED ORDER MANDATING ELECTRONIC FILINGS

In the Matter of: Electronic Filing of Securities Registration Applications, Notice Filings, and Exemption Filings.

New Franchise Disclosure Handbook Available from NASAA

WASHINGTON, D.C. (May 8, 2020) – The North American Securities Administrators Association (NASAA) today announced the availability of a new publication designed to improve the quality of franchise disclosures.

The...

ORDER MANDATING ELECTRONIC FILINGS

***PLEASE NOTE:  THIS ORDER HAS BEEN REVISED EFFECTIVE JUNE 8, 2020***

In the Matter of: Electronic Filing of Securities Registration Applications, Notice Filings, and Exemption Filings.

...

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

 

 

 ...

ND Securities Department Reminds Investors to Beware of Con Artists Looking to Profit from Fear and Uncertainty

Bismarck ND –  In light of the ongoing developments related to the coronavirus (COVID-19) and its impact on financial markets, the Securities Department is reminding investors in North Dakota to beware of...

Subscribe to