Skip to main content
nd.gov - The Official Portal for North Dakota State Government
White logo that reads North Dakota Securities Department
 
 

Main Nav Desktop

  • For Investors
    • How to File a Complaint
    • Investor Alerts and Advisories
    • Be a Prepared Investor
    • Check BEFORE You Invest
    • Investor Bill of Rights
    • Helpful Links
    • Investment Fraud and Enforcement
  • For Industry Professionals
    • Broker-Dealers and Agents
    • Investment Advisers and IA Representatives
    • Investment Advisers - Notice Filers
    • Canadian Broker-Dealer
    • Forms, Links, and Laws - Industry
  • Filing & Registration
    • Franchise Registration and Renewal
    • Securities Registration
    • Registration Exemptions
    • Federal Covered Securities
    • Pre-need Funeral Service Contracts
    • Forms, Links, and Laws - Securities
  • Department Information
    • Commissioner
    • Securities Team
    • Enforcement Actions
    • Laws and Rules
    • Orders Issued by the Commissioner
    • News
  • Resources
    • Links to Other Regulators
    • Guide to Raising Capital
  • Contact Us
  • For Investors
    • How to File a Complaint
    • Investor Alerts and Advisories investor news updates
    • Be a Prepared Investor
    • Check BEFORE You Invest
    • Investor Bill of Rights
    • Helpful Links
    • Investment Fraud and Enforcement
      • Protect Your Investment
      • Red Flags of Fraud
  • For Industry Professionals
    • Broker-Dealers and Agents
    • Investment Advisers and IA Representatives
    • Investment Advisers - Notice Filers
    • Canadian Broker-Dealer Canadian Broker-Dealer
    • Forms, Links, and Laws - Industry
  • Filing & Registration
    • Franchise Registration and Renewal
      • Notice of Exemption
      • Search ND Franchisee Opportunities
      • Forms, Links, and Laws - Franchise
    • Securities Registration
    • Registration Exemptions
    • Federal Covered Securities
    • Pre-need Funeral Service Contracts Pre-need Funeral Service Page
    • Forms, Links, and Laws - Securities
  • Department Information
    • Commissioner
    • Securities Team
    • Enforcement Actions
    • Laws and Rules
    • Orders Issued by the Commissioner
    • News
  • Resources Resources
    • Links to Other Regulators
    • Guide to Raising Capital
  • Contact Us

Side Navigation

  • For Investors
    • How to File a Complaint
    • Investor Alerts and Advisories
    • Be a Prepared Investor
    • Check BEFORE You Invest
    • Investor Bill of Rights
    • Helpful Links
    • Investment Fraud and Enforcement
      • Protect Your Investment
      • Red Flags of Fraud
  • For Industry Professionals
    • Broker-Dealers and Agents
    • Investment Advisers and IA Representatives
    • Investment Advisers - Notice Filers
    • Canadian Broker-Dealer
    • Forms, Links, and Laws - Industry
  • Filing & Registration
    • Franchise Registration and Renewal
      • Notice of Exemption
      • Search ND Franchisee Opportunities
      • Forms, Links, and Laws - Franchise
    • Securities Registration
    • Registration Exemptions
    • Federal Covered Securities
    • Pre-need Funeral Service Contracts
    • Forms, Links, and Laws - Securities
  • Department Information
    • Commissioner
    • Securities Team
    • Enforcement Actions
    • Laws and Rules
    • Orders Issued by the Commissioner
    • News
  • Resources
    • Links to Other Regulators
    • Guide to Raising Capital
  • Contact Us
  1. Home
  2. Links to Other Regulators

Links to Other Regulators

Medium

SEC.gov


Protects investors;

Maintains fair, orderly, and efficient markets;

Facilitates capital formation.

 

finra.org


Enforces rules;

Examines for compliance;

Disciplines rule breakers;

Educates investors;

Resolves securities disputes.

nasaa.org


Represents state and

provincial securities

regulators in the USA,

Canada and Mexico.
 

Medium

 

Click Here to Contact Securities Regulators from Other States


 

Copyright © 2021 ND Securities Department
600 East Boulevard Avenue, State Capitol, 5th Floor
Bismarck, ND 58505-0510 | 701.328.2910

Subscribe to News and Alerts

Footer menu

  • Contact
  • Accessibility
  • Disclaimer
  • Privacy Policy
  • Security Policy
Feedback (+)Provide Website Feedback
Feedback (+)Provide Website Feedback
Be Legendary Logo White Version