Mission and Goals of the Office

NORTH DAKOTA SECURITIES DEPARTMENT
"EDUCATION AND PROTECTION FOR YOUR FINANCIAL SECURITY"

The North Dakota Securities Department regulates the offer and sale of securities and franchises in the State of North Dakota, and protects the investing public by enforcing compliance with our state's laws. The Department promotes public awareness of securities laws to prevent violations and to prevent investment fraud. The Department provides investor education programs for all ages to improve the level of financial literacy in our state.

Major responsibilities of this Department include:

• Enforcement of the North Dakota Securities Act and North Dakota Franchise Investment Law;
• Registration of securities offerings, broker-dealer and investment adviser firms and representatives, and franchises;
• Facilitation of capital formation by businesses;
• Investigation of consumer complaints and initiation of appropriate disciplinary action; and
• Promotion of sound financial planning through investor education programs.

Goals of this Department are to:

• Maintain the integrity of the marketplace for securities, franchises and commodities in North Dakota;
• Exact high standards of those who seek to use the money of others;
• Assist industry firms and salespeople in employing sound sales practices;
• Promote investor confidence in our capitalistic economy;
• Foster the formation of capital for business and economic development; and
• Provide public information and education about financial planning and investing to help citizens make wise personal financial choices.