The North Dakota Securities Department protects investors and supports legitimate capital formation. The Department is a regulatory agency responsible for the administration of the North Dakota Securities Act (10-04), the North Dakota Commodities Act (51-23), the Franchise Investment Law (51-19) and Pre-Need Funeral Services Law (43-10.1).
The Department regulates investment industry firms and professionals and also regulates capital formation involving the offer and sale of securities. We strive to adequately balance the support of efficient, legitimate capital formation with appropriate protections for investors who commit capital to businesses.
The investigation of investment fraud and other securities law violations is also our responsibility, and we may take enforcement actions that result in disciplinary remedies and act as a deterrent for further violations.
Through our investor education programs and resources, we strive to help North Dakotans make informed investment decisions, avoid fraud and build financial security.
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Thinking About Investing? Start with the Basics.
Wednesday, May 28, 2025
Categories: Investor Alerts and AdvisoriesWho sells securities? Who provides advice about them? How can you protect yourself when hiring an investment professional? What documents should you expect—and what should you look for in them?
There’s a lot to consider when planning to invest. That’s why the North Dakota Securities Department urges all investors to thoroughly research their investment professional before investing. Learn how to be an informed and prepared investor.
North Dakota Students Win The Stock Market Game™ with Outstanding Financial Performances
Monday, May 19, 2025
Categories: Investor Alerts and AdvisoriesWinners of the 2025 Stock Market Game demonstrated research, critical thinking, and analytical skills in real-world financial decision-making.
Money Talk With Middle School Students: “Spend It or Save It” Financial Literacy Program
Friday, May 2, 2025
Categories: Investor Alerts and AdvisoriesThe North Dakota Securities Department partners with The National Theatre for Children to provide a live show with professional actors, giving students a head start learning about investing, the difference between wants and needs, credit versus cash and the benefits of saving.
Cryptocurrency scams involving so-called “Investment Education Foundations” and AI bots
Thursday, March 13, 2025
Categories: Investor Alerts and AdvisoriesThe North Dakota Securities Department urges investors to remain vigilant and skeptical before handing over their money, as a new investment scam involving fake “investment education foundations" circulates.
North Dakota Joins $106M Multi-State Settlement with Vanguard over Big Tax Bills, Remediation to Investors
Friday, February 21, 2025
Categories: Enforcement Actions