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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

North Dakota Securities Department Now Accepting Online Filing for Unit Investment Trusts

Bismarck ND –  The North Dakota Securities Department today announced that the North American Securities Administrators Association’s (NASAA) Electronic Filing (EFD) System has been expanded to accommodate the electronic filing of Form NF-UIT notice filings for unit investment trusts (UITs) with the North Dakota Securities Department.

Developed by NASAA, the EFD System was launched in 2014 and was initially used to facilitate the filing of Form D for Regulation D, Rule 506 offerings with state securities regulators and to pay related fees.

“By continuing to embrace technology, states are providing more innovative capital formation solutions to benefit issuers and investors alike,” said Karen Tyler, ND Securities Commissioner.

North Dakota is among a growing number of states participating in the online filing of Form NF-UIT and the 48 states participating in the online EFD system for Form D. Future system enhancements are being considered to accommodate the electronic filing of Form NF-Mutual Funds and franchise filings.

The EFD website also enables the public to search and view, free of charge, filings made through EFD with state securities regulators. EFD is available at: https://www.efdnasaa.org.

“If you have questions about a particular offering, you should contact the ND Securities Department,” Commissioner Tyler said.

Issuers or investors with questions about EFD can contact the ND Securities Department at (701) 328-2910.


For More Information Contact:

North Dakota Securities Department (701) 328-2910


Doug Burgum, Governor

Karen Tyler, Commissioner Securities Department


State Capitol     |     600 E. Boulevard Ave., 5th Floor     |     Bismarck, ND 58505

PHONE: (701) 328-2910     |     E-MAIL: ndsecurities@nd.gov





C O N T A C T :


Jennifer Kurtz        |     701-328-2926



Bailey Doll     |     701-328-2987