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Member of the North American Securities Administrators Association |
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Sign up for our newsletters for the information you need to protect yourself against scam artists, educate yourself about investment products, learn about regulations and legislation that may affect you, and get the latest news from the North Dakota Securities Department.
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Current News

REGISTRATION DEADLINE FOR TEACHERS ACADEMY
June 4, 2008
Bismarck, ND - There is still time for teachers to register for the 13th Annual Invest North Dakota Teachers Academy to be held July 14-18, 2008. The Academy will be held at The University of Mary in Bismarck and is sponsored by The North Dakota Securities Department. This valuable course will assist teachers in presenting personal finance topics to their students, as well as provide helpful information for their own financial planning. Upon completion of the Academy, teachers will receive two graduate credits through the University of their choice (NDSU, UND or MiSU). The deadline for registration is July 7, 2008. Enrollment is limited to 150 teachers, so apply now. Details
NEWS AND VIEWS NEWSLETTER
January 1, 2007
This periodic newsletter delivers timely information about matters of importance for investors, securities regulators and the securities industry. News & Views spotlights investment fraud trends and reports recent enforcement actions taken by the Securities Department. Details
SECURITIES COMMISSIONER SEEKS INJUNCTION OF SALES OF UNREGISTERED PROMISSORY NOTES
April 25, 2008
Bismarck, ND - Former securities agent and investment advisor representative, Larry M. Atkins, and his firm, Atkins Brokerage Services, Inc., have been enjoined from the sale of promissory notes or other unregistered securities in North Dakota in an action brought by North Dakota Securities Commissioner Karen Tyler. Details
NORTH DAKOTA SECURITIES REMINDS INVESTORS THAT SCAMS OFTEN HIDE BEHIND THE HEADLINES
January 29, 2008
Bismarck, ND - Securities Commissioner Karen Tyler today reminded investors not to allow recent negative economic news and stock market volatility to lead them into high-risk speculative investments, which may be nothing more than fraudulent schemes hiding behind today's headlines. Details
STATE STOCK MARKET GAME WINNERS ANNOUNCED
May 14, 2008
Bismarck, ND - Students from Parkinson Home School in Williston, Cathedral of the Holy Spirit in Bismarck, and Cavalier High School have taken first place honors in North Dakota for the Spring 2008 Stock Market Game (SMG). The teams receiving second place honors were from Hankinson Elementary, Cathedral of the Holy Spirit, Bismarck, and Cavalier High School. There were 704 teams and 1,569 students participating in all grade levels of the competition. Winning teams in this competition increased their portfolio by as much as $68,000. Details
COORDINATED EXAMINATIONS IDENTIFY INVESTMENT DEFICIENCIES
October 16, 2007
State Securities Regulators Update Best Practices to Help Advisers Strengthen Compliance Procedures
WASHINGTON, D.C. - The North American Securities Administrators Association (NASAA) today released an updated series of recommended best practices that investment advisers should consider in order to improve their compliance practices and procedures. Details
SECURITIES COMMISSIONER ELECTED TO ONE-YEAR TERM AS PRESIDENT OF NASAA
October 2, 2007
Seattle, Washington – North Dakota Securities Commissioner Karen Tyler today was elected to a one-year term as President of the North American Securities Administrators Association (NASAA). Details
N.D. SECURITIES TO SPONSOR "MAD ABOUT MONEY" PERFORMANCES TO STUDENTS
September 10, 2007
Bismarck, ND - The North Dakota Securities Department is sponsoring "Mad About Money" theatrical productions in 10 Schools during the week of September 17-21, 2007. The productions will be performed by professional actors with The National Theatre for Children from Minneapolis, MN. Over 1700 North Dakota students will have the opportunity to experience this production. Details
SECURITIES COMMISSIONER APPLAUDS ENACTMENT OF LEGISLATION TO PROTECT MILITARY PERSONNEL FROM UNSCRUPULOUS SALES OF INSURANCE AND INVESTMENT PRODUCTS
October 3, 2006
Bismarck, ND - North Dakota Securities Commissioner Karen Tyler today applauded the enactment of federal legislation to protect military personnel from unscrupulous sales of insurance and investment products. "The Military Personnel Financial Services Protection Act" was signed into law on September 29 by President Bush. Details
UNREGISTERED PROMISSORY NOTES HALTED
September 6, 2006
Bismarck, ND - Fargo area insurance agent, David A. Skjerven, is ordered by the North Dakota Securities Commissioner to Cease and Desist from selling promissory notes or other securities in North Dakota. Details
OPPORTUNITY FOR NORTH DAKOTA TEACHERS
March 27, 2008
The thirteenth annual INVEST NORTH DAKOTA TEACHERS ACADEMY will be held July 14-18, 2008 at The University of Mary in Bismarck. Sponsored by the North Dakota Securities Department, the purpose of the Academy is to assist teachers in bringing personal financial planning and money management skills into their classrooms, as well as assisting teachers personally in reaching their financial objectives. Details
STATE STOCK MARKET GAME WINNERS ANNOUNCED
January 17, 2008
Bismarck, ND - Students from Hankinson Elementary, Cheney Middle School of West Fargo and Bismarck Century High School have taken first place honors in North Dakota for the Fall 2007 Stock Market Game (SMG). The teams receiving second place honors were from Hankinson Elementary, Cheney Middle School, and West Fargo High School. There were 726 teams and 1,582 students participating in all grade levels of the competition. Winning teams in this competition increased their portfolio by as much as $43,000. Details
REGISTRATION DEADLINE FOR TEACHERS ACADEMY
June 5, 2007
Bismarck, ND - There is still time for teachers to register for the 12th Annual Invest North Dakota Teachers Academy to be held July 16-20, 2007. The Academy will be held at The University of Mary in Bismarck and is sponsored by The North Dakota Securities Department. This valuable course will assist teachers in presenting personal finance topics to their students, as well as provide helpful information for their own financial planning. Upon completion of the course, teachers will receive two graduate credits through the University of their choice (NDSU, UND or MiSU). The deadline for registration is July 9, 2007. Enrollment is limited to 150 teachers, so apply now. Details
DALEY JOINS N.D. SECURITIES DEPARTMENT
May 3, 2007
Bismarck, ND - Michael F. Daley has joined the North Dakota Securities Department as the agency's attorney. Details
OPPORTUNITY FOR NORTH DAKOTA TEACHERS
April 11, 2007
Bismarck, ND - The twelfth annual INVEST NORTH DAKOTA TEACHERS ACADEMY will be held July 16-20, 2007 at The University of Mary in Bismarck. Sponsored by the North Dakota Securities Department, the purpose of the Academy is to assist teachers in bringing personal financial planning and money management skills to their classrooms, as well as assisting teachers personally in reaching their financial objectives. Details
TYLER NEW PRESIDENT-ELECT OF NASAA
October 11, 2006
Bismarck, ND - North Dakota Securities Commissioner Karen Tyler has been elected President-elect of the North American Securities Administrators Association (NASAA). Details
STATE STOCK MARKET GAME WINNERS ANNOUNCED
May 15, 2007
Bismarck, ND - Students from Hankinson Elementary, West Fargo Middle School, and Carrington High School have taken first place honors in North Dakota for the Spring 2007 Stock Market Game (SMG). The teams receiving second place honors were from Hankinson Elementary, Ben Franklin Middle School, Fargo and Bismarck High School. There were 876 teams and 1,955 students participating in all grade levels of the competition. Winning teams in this competition increased their portfolio by as much as $42,000. Details
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