Friday, July 29, 2022

Categories: Enforcement Actions

Cease and Desist Order, Notice of Civil Penalties, Order for Rescission, and Notice of Right to Request a Hearing


Tuesday, July 26, 2022

Categories: Investor Alerts and Advisories

A private placement is a securities offering that is not required by law to be registered with federal or state securities regulators. Private placements allow companies to sell stocks, bonds, or other securities to investors without completing the rigorous disclosures necessary in a registered offering.


Monday, July 18, 2022

Categories: Enforcement Actions

Findings of Fact, Conclusions of Law, Order to Summarily Suspend Investment Adviser Registration, Notice of Proposed Order to Revoke Investment Adviser Registration, Cease and Desist Order, Notice of Civil Penalties, Order for Rescission, Notice of Reservation of Commissioner's Authority to Amend Order, and Notice of Right to Request a Hearing


Monday, July 18, 2022

Categories: Enforcement Actions

Stop Order Summarily Suspending the Offer and Sale of Federal Covered Securities, Cease and Desist Order, Notice of Civil Penalties, and Notice of Right to Request a Hearing


Wednesday, July 13, 2022

Categories: Investor Alerts and Advisories

With interest rates on the rise, more investors may be considering an investment in bonds or bond funds, and in researching alternatives or talking to a financial adviser, may have come across bond credit ratings.  Credit ratings usually appear in the form of alphabetical letter grades (for example, ‘AAA’ and ‘BBB’) and are an estimate of the relative level of credit risk of a bond, company or government.  Credit ratings are issued by third parties and are not an assessment by the issuer of the bond or by securities regulators.

Credit ratings can be useful when evaluating an investment.  But when considering credit ratings, you should understand their limitations.  You should not base your investment decision solely on a credit rating or treat a credit rating as if it were investment advice.
 


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.


Monday, June 13, 2022

Categories: Investor Alerts and Advisories

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


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.