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The North Dakota Securities Department protects investors and supports legitimate capital formation.  The Department is a regulatory agency responsible for the administration of the North Dakota Securities Act (10-04), the North Dakota Commodities Act (51-23), the Franchise Investment Law (51-19) and Pre-Need Funeral Services Law (43-10.1).

The Department regulates investment industry firms and professionals and also regulates capital formation involving the offer and sale of securities. We strive to adequately balance the support of efficient, legitimate capital formation with appropriate protections for investors who commit capital to businesses.

The investigation of investment fraud and other securities law violations is also our responsibility, and we may take enforcement actions that result in disciplinary remedies and act as a deterrent for further violations.

Through our investor education programs and resources, we strive to help North Dakotans make informed investment decisions, avoid fraud and build financial security.

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Investor Advisory: Pig Butchering Scams

Wednesday, September 11, 2024

Categories: Investor Alerts and Advisories

Pig Butchering is a term and metaphor used to describe a scam perpetrated over a long period of time to steal a victim’s money repeatedly via online apps. This advisory outlines how these scams work and how to identify red flags.


Investor Advisory: Precious Metals and Coin Investments

Wednesday, July 31, 2024

Categories: Investor Alerts and Advisories

An investor needs to know their investment objectives and understand the risks that come with a precious metals investment.  Precious metals are commodities, and like other commodities, their price can fluctuate dramatically. While there may be room in a diversified portfolio for precious metals, investors should consider several factors to determine if precious metals fit their investment objectives.


Investor Advisory: Mobile App Scams

Tuesday, June 25, 2024

Categories: Investor Alerts and Advisories

With the proliferation of mobile device use and access to apps, more investors have become vulnerable to scammers who have infiltrated the mobile app marketplace.


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

Friday, June 14, 2024

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, including potential exploitation and scams.


Investor Advisory: Seniors' Guide to Staying Safe Online

Wednesday, June 12, 2024

Categories: Investor Alerts and Advisories

The stress of financial fraud can be life altering, especially for those in their retirement years. Losing money in an online investment fraud or financial scheme can severely affect your physical, mental, and social health. To avoid online scams, it is important to keep track of the internet services, subscriptions, and passwords you are using. This investor advisory explains how you can take a proactive role in staying more secure online. 


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