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Member of the North American Securities Administrators
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Staff
Karen Tyler
Phone: 701-328-2910
Karen Tyler has been the North Dakota Securities Commissioner since July of 2001. Appointed by Governor John Hoeven in 2001 and again by Governor Jack Dalrymple in 2010, Ms. Tyler oversees the enforcement, registration, corporation finance, and education divisions of the North Dakota Securities Department. Prior to her appointment as Securities Commissioner, she served clients in the banking and brokerage sectors of the financial services industry for 14 years.
Ms. Tyler is a past-president of the North American Securities Administrators Association (NASAA) and served as a member of NASAA's Board of Directors for four years. She has also served on NASAA's External Affairs and State/Federal Relations committees. Ms. Tyler previously chaired the NASAA Investor Education Section Committee and the NASAA project group on Section 529 plans, and was a member of the Consumer Advisory Council for the Certified Financial Planner Board of Standards. She holds a B.A. degree in management from the College of St. Benedict.
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Michael F. Daley
Phone: 701-328-4701
Michael F. Daley is the attorney for the Securities Department responsible for enforcement of the securities laws and regulations. He graduated from the University of North Dakota Law School in 1980. Prior to assuming this position, he was in private practice in Grand Forks and Bismarck, with a concentration in civil and criminal litigation. He also served as a Special Assistant Attorney General for the Board of Accountancy. Michael served two terms on the Board of Governors of the State Bar Association and is currently a member of the Judicial Conference.
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Harold P Kocher
Phone: 701-328-4703
Harold P Kocher is the chief examiner whose primary responsibility is the review of applications filed to either register or receive approval for the offer and sale of securities. Other responsibilities include answering inquiries regarding the various exemptions from the registration requirements, explaining state and federal requirements for raising capital through the offer and sale of securities, and administering the laws for pre-need funeral contracts. Kocher has been an examiner with the office since 1965.
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Kelly Mathias
Phone: 701-328-2929
Kelly Mathias assumed his position as Securities Investigator in 2000. He was previously employed as an Auditor/Investigator with the Office of the Attorney General for 9 years. He is a graduate of the University of North Dakota with a degree in Business Administration, majoring in Accounting.
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Doug Smith
Phone: 701-328-2926
Doug Smith is a Securities Investigator with the Office. Prior to assuming his current position in 2000, he was associated with AXA Advisors since 1981 as a securities sales representative. He graduated from Dickinson State University with a B.S. degree and took graduate classes at the University of Northern Iowa, Cedar Falls, IA.
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Rachel Rice
Phone: 701-795-3669
Rachel Rice is a Securities Investigator with the Department and is located in our Grand Forks office. Prior to coming to the Securities Department, she held various positions in the Insurance industry. She received her undergraduate degree from Jamestown College and her Master's degree in Business Administration from the University of Mary.
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Diane Lillis
Phone: 701-328-4712
Diane Lillis is the Franchise Examiner/Budget Administrator for the Department and has been with the department since 1996. She oversees all Franchise related issues and plans and administers a biennial general fund and special fund budgets as well as several other departmental administrative duties.
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Jacqui Ferderer
Phone: 701-328-2987
Jacqui Ferderer joined the ND Securities Department in 1997, after 12 years with Job Service. Jacqui’s duties include maintaining the CRD system, the administration of the agency’s website and general office support. Additionally, as Registration Examiner, her responsibilities encompass the registration of Broker/Dealers and agents, Investment Advisors and representatives, and Canadian Broker/Dealers and agents.
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