North Dakota Securities Department Forms
The North Dakota Securities Department is responsible for enforcing the state's securities laws, which are designed to protect investors. It regulates the sale of securities, including stocks, bonds, and mutual funds, within the state of North Dakota. The department oversees the registration of securities offerings and individuals and firms involved in the sale of securities. It also investigates potential violations of securities laws and takes enforcement actions when necessary. The main purpose of the North Dakota Securities Department is to safeguard investors and ensure fair and transparent capital markets in the state.
Documents:
37
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Word
This form is used for applying to become a registered agent in North Dakota.
This form is used for renewing the issuer dealer license in North Dakota.
This Form is used for applying for a limited exemption for offerees in North Dakota.
This Form is used for applying for an issuer exemption in North Dakota.
This form is used for determining interest in a potential investment or project in North Dakota. It allows individuals to express their willingness to participate or provide feedback before making a final decision.
This Form is used for entering into an Impoundment Agreement in North Dakota.
This form is used for reporting the final outcome of exempt offers and sales made by limited offerees in North Dakota.
This form is used for filing the final report of sales exemption for issuers in North Dakota. It is specifically for SFN51954 (E (R) (S)) issuers.
This Form is used for nonprofit organizations in North Dakota to claim an exemption.
This Form is used for applying for the Accredited Investor Exemption in North Dakota. It is for individuals or entities looking to be exempt from certain securities registration requirements.
This form is used for applying to register securities by qualification in North Dakota.
This form is used for filing a rescission offer in North Dakota.
This Form is used for reporting the final sales of an issued exemption in North Dakota.
This Form is used for applying for a limited offeree exemption in North Dakota.
This form is used for applying for an exemption as an issuer in North Dakota.
This form is used for nonprofit organizations in North Dakota to claim exemption from certain taxes or fees.
This form is used for creating an agreement for the impoundment of property in North Dakota.
This Form is used for soliciting interest and "testing the waters" in North Dakota.
This document is for reporting annual sales of pre-need funeral contracts in North Dakota.
This form is used for obtaining a pre-need funeral service contract bond in North Dakota.
This Form is used for submitting a rescission offer in the state of North Dakota.
This form is used for applying to register as an agent in the state of North Dakota.
This form is used for renewing the registration of an issuer-dealer or agent in North Dakota.
This form is used for filing a Municipal Security Notice in North Dakota. It allows individuals to provide information regarding the security issued by a municipality.
