Forms, Links, and Laws - Securities

Related Forms

• Form MNF: Municipal Security Notice Filing

• Form U-1:  Uniform Application to Register Securities (PDF: external link)

• Form U-2:  Consent to Service of Process

• Form U-2A: Uniform Form of Corporate Resolution 

• Form U-4:  Uniform Application for Securities Industry Registration or Transfer

• Form NP: Nonprofit Organization Claim of Exemption

• Form E:  Limited Offeree Exemption Application

• Form E (R): Limited Offeree Exemption Final Report of Offers and Sales

• Form E (S): Issuer Exemption Application - Intrastate Limited Offering Exemption

• Form E (R) (S): Issuer Exemption Final Report of Sales - Intrastate Limited Offering Exemption

• Form S - 4:  Application for Registration as Dealer 

• Form S - 5:  Application for Registration of Agent

• Form S - 6:  Issuer Dealer Renewal Application

• Form S - 9:  Impoundment Agreement

• Form SOI:  Solicitation of Interest "Test the Waters"

• Form AIE:   Accredited Investor Exemption

• Form RO: Rescission Offer 

• Affidavit of Issuer/Dealer Activity

• Uniform Notice of Regulation A - Tier 2 Offering

• SEC Form D

Helpful Links

• NASAA North American Securities Administrators Association
• Contact Other State Regulators NASAA
• SCOR Small Company Offering Registrations
• Small Business Guide to Raising Capital
• Regulation A  Small Business Exempt Offerings - SEC
• Reg D, Rule 501 Accredited Investor Definition 
• Coordinated Review  Programs for State Registration of Securities Offerings
• Electronic Filing Depository (EFD) The NASAA EFD allows filers to submit filing notices, fees, and forms
• Electronic Filing Depository (EFD) video tutorials
• SEC Information for Small Businesses
• Regulatory Notice Regarding Issuer-Dealer Registration

Laws, Rules and Orders

• N.D.C.C. 10-04           The North Dakota Securities Act.  
• N.D.C.C. 10-04-02      Definitions.
• N.D.C.C. 10-04-04      Registration of Securities.
• N.D.C.C. 10-04-05      Exempt Securities.
• N.D.C.C. 10-04-06      Exempt Transactions.
• N.D.C.C. 10-04-07.2   Registration by Coordination.
• N.D.C.C. 10-04-08      Registration by Qualification.
• N.D.C.C. 10-04-08.4   Federal Covered Security.
• N.D.C.C. 10-04-10      Registration of Industry Firms and Professionals.
• N.D.C.C. 10-04-10.1   Advisory Activities.
• N.D.C.C. 10-04-10.3   Post-Registration Provisions.
• Securities Act of 1933 
• Securities and Exchange Act of 1934
• National Securities Markets Improvement Act of 1996 (NSMIA)
• Regulation D, Rule 506
• Regulation A
• Revised Order Mandating Electronic Filings

For Assistance Contact:

Rachel E. Rice, Supervisor of Investigations & Examinations

Email: rarice@nd.gov 

Phone: (701) 352-4592