North Dakota

  • North Dakota is a merit jurisdiction.
  • North Dakota accepts the Uniform Application to Register Securities (Form U1), and does not allow for electronic signature of forms.
  • Registration requires filing or delivery of:
    • Filing fee
    • Application form
    • Financial statements
    • A Consent to Service of Process (Form U2)
    • SEC Form 1-A with exhibits
  • North Dakota collects a variable fee. The filing fee is 1/10 of 1% of the aggregate amount of each security or class of security to be registered, but not more than $2,500.00 with a minimum of $150.00 for each security or class of security to be registered.
  • Fees should be payable to “ND Securities Department.” Payments should be sent to the following address:
Mailing Address: Courier Address:
600 East Boulevard
Bismarck, ND 58505
600 East Boulevard
Bismarck, ND 58505
  • For additional information, please visit the regulator’s website at www.nd.gov/securities or contact them at (701) 328-4703.

 

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