Securities

State of North Dakota

Official Website: https://www.securities.nd.gov/

Forms & Documents

Browse all Securities government forms

All 16 forms

Form Title Topics
Accredited Investor Exemption
Affidavit of Broker-Dealer Activity
Affidavit of Investment Advisory Activity
Application for Registration as Dealer
Application for Registration of Agent
Franchise Funds Packet
Impoundment Agreement
Issuer Dealer Renewal Application
Issuer Exemption Application - Intrastate Limited Offering Exemption
Issuer Exemption Final Report of Sales - Intrastate Limited Offering Exemption
Limited Offeree Exemption Application
Limited Offeree Exemption Final Report of Offers and Sales
Municipal Security Notice Filing
Nonprofit Organization Claim of Exemption
Rescission Offer
Solicitation of Interest "Test the Waters"

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