North Dakota Century Code
N.D.C.C. 10-04 Securities Act
The North Dakota Securities Department administers and enforces the North Dakota Securities Act, N.D.C.C. Chapter 10-04, by registering securities; reviewing exemptions; issuing no-action letters and interpretive opinions; and licensing broker-dealers and their agents, and investment advisers and their representatives. The Securities Department investigates complaints alleging violations of the Securities Act and rules and if violations are found, the Securities Commissioner may bring an administrative or civil action or make a referral for criminal prosecution.
N.D.C.C. 51-23 Commodities Act
N.D.C.C. 51-19 Franchise Investment Law
N.D.C.C. 43-10.1 Pre-need Funeral Services
Title 73 of the North Dakota Administrative Code
Title 73 contains the rules adopted by the Securities Commissioner to assist in the interpretation and implementation of
- Securities Act (Title 73-02),
- Franchise Investment Law (Title 73-03), and
- Pre-need Funeral Services Act (Title 73-04) (No rules promulgated).
For Assistance Contact:
Michael F. Daley, Deputy Commissioner / Attorney , Email Mike
Phone: (701) 328-4701, ND Toll Free (800) 297-5124