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Related Forms


Helpful Links

  • Securities Industry Registrations:  Getting and Maintaining a FINRA Registration Federal and state agencies, as well as non-governmental regulators like FINRA and the securities exchanges oversee the activities of securities professionals.
  • Central Registration Depository (CRD)  FINRA is responsible for the Central Registration Depository (CRD®) program, which supports the licensing and registration filing requirements of the U.S. securities industry and its regulators. 

  • Investment Advisor Registration Depository (IARD) is an electronic filing system that facilitates investment adviser registration, exempt reporting adviser filing, regulatory review, and the public disclosure information of registered investment adviser firms and individuals. 

Laws, Rules and Orders

  • N.D.C.C. 10-04. The North Dakota 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. 10-04-10.1  Advisory activities.

  • N.D.C.C. 10-04-02  Definitions.

  • N.D.C.C. 10-04-10  Registration of broker-dealers, agents, investment advisers, investment adviser representatives, and notice filings by federal covered advisers.

  • N.D.C.C. 10-04-10.3   Post-registration provisions.

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For Assistance Contact:

Cody Schmidt, Examiner / Investigator, Email Cody

Phone: (701) 328-4703; ND Toll Free: (800) 297-5124