News

The North Dakota Securities Department Recognizes June 15 as World Elder Abuse Awareness Day

Tuesday, June 14, 2022

Categories: Investor Alerts and Advisories

In recognition of World Elder Abuse Awareness Day on June 15, the North Dakota Securities Department reminds financial professionals and the public throughout North Dakota to be on the lookout for signs of elder financial abuse.


Governor Burgum Issues Proclamation Recognizing World Elder Abuse Awareness Day on June 15

Monday, June 13, 2022

Categories: Investor Alerts and Advisories

Governor Burgum Issues Proclamation Recognizing World Elder Abuse Awareness Day on June 15.


Investor Advisory: ESG Investing

Friday, June 3, 2022

Categories: Investor Alerts and Advisories

Many investors are becoming more conscious of whether a company in which they are investing has considered environmental, social and governance (ESG) factors. This is resulting in an investor-driven push to get corporate managers to pay greater attention to ESG issues. Some corporations are responding by altering their management philosophies and business plans.


Investor Advisory: Romance Scams

Tuesday, May 10, 2022

Categories: Investor Alerts and Advisories

Don't get swept away by a romance scam.

Dating apps and social media platforms may be a popular way to meet new people, but be cautious if someone turns an online romance into an opportunity to solicit an investment or asks to borrow money. Scammers are increasingly posing as potential romantic partners to lure people into fraudulent investment schemes. This alert discusses common tactics fraudsters use in investment-related romance scams and gives you steps to take to protect yourself from these schemes.


BlockFi Lending LLC - Consent Order

Friday, April 22, 2022 at 12:01 pm

Categories: Enforcement Actions

Investor Advisory: Social Media, Online Trading and Investing

Monday, April 18, 2022

Categories: Investor Alerts and Advisories

In our digitally connected world, some investors turn to online chatrooms and social media platforms for information about investing or specific investment opportunities.  And with today’s trading technology, it’s easy to go from zero to invested in a matter of minutes.  Phone apps can turn inexperienced investors into day traders, and online investment chat forums make it easy to use these sources for investment advice rather than relying on the services of a registered investment professional. While ever-evolving financial technology innovation makes investing more accessible to greater numbers of people, investors must understand the risks created when financial innovation and social media intersect. 


Investor Advisory: Reassigned Investment Accounts

Tuesday, April 5, 2022

Categories: Investor Alerts and Advisories

The relationship you have with your investment professional is a key element to meeting your long-term financial goals.

If your stockbroker or investment adviser representative leaves his or her employer, you should make sure that you understand how and why it happened. It could be as simple as a move to another city or retirement, but there could be other reasons too. It is critical to find out what happened before deciding who will help you with your investments going forward. After all, it’s your money and your financial future.


Investor Advisory: Crypto Asset Interest-Bearing Accounts

Tuesday, April 5, 2022

Categories: Investor Alerts and Advisories

Crypto assets, including cryptocurrencies, stablecoins, tokens, and other digital assets have been of increasing interest to individual investors over the last few years.  This Investor Advisory highlights the risks that may be involved in a new financial product related to crypto assets—an interest-bearing account for crypto asset holdings.