News
Thursday, June 11, 2020
Monday, June 8, 2020
In the Matter of: Electronic Filing of Securities Registration Applications, Notice Filings, and Exemption Filings.
Monday, May 11, 2020
WASHINGTON, D.C. (May 8, 2020) – The North American Securities Administrators Association (NASAA) today announced the availability of a new publication designed to improve the quality of franchise disclosures.
The 366-page Franchise Disclosure Document Handbook: A Resource Guide for Preparing a Franchise Disclosure Document is a compilation of the various rules, commentaries, and guidance from the Federal Trade Commission and NASAA governing the preparation of Franchise Disclosure Documents.
Tuesday, May 5, 2020
***PLEASE NOTE: THIS ORDER HAS BEEN REVISED EFFECTIVE JUNE 8, 2020***
In the Matter of: Electronic Filing of Securities Registration Applications, Notice Filings, and Exemption Filings.
ORDER MANDATING ELECTRONIC FILINGS
Friday, April 17, 2020
Bismarck ND – Amid the ongoing COVID-19 pandemic, securities regulators continue to urge investors to be on guard against an anticipated surge of fraudulent investment schemes.
Monday, April 13, 2020
Categories: Investor Alerts and AdvisoriesBismarck ND – Amid the ongoing COVID-19 pandemic, securities regulators continue to urge investors to be on guard against an anticipated surge of fraudulent investment schemes.
Thursday, April 2, 2020
EMERGENCY NOTICE No. 2020-03 | April 2, 2020
Temporary Relief from Notary Attestation for Registrants and Other Filers Affected by the COVID-19 Outbreak Granted by the Commissioner under N.D.C.C. § 10-04-03(2)
The North Dakota Securities Commissioner understands that registrants and other filers may not be able to obtain notary attestation at this time.
Monday, March 30, 2020
Friday, March 27, 2020
I. Relief from Requirement to Obtain Physical Signatures on Forms U4
II. Relief from Annual Update Filings and Document Delivery Requirements by State-Registered Investment Advisers