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

News Archive

2020

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

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

ORDER MANDATING ELECTRONIC 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

 

 

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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...

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