North Dakota Securities Department Forms
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Form S-4 (SFN51526) "Application for Registration as a Dealer" - North Dakota
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21 votes
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4 pages
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Form SFN53495 "Affidavit of Broker/Dealer Activity" - North Dakota
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(4.8 / 5)
69 votes
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1 MB
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Form SFN51951 (S-9) "Impoundment Agreement" - North Dakota
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43 votes
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440 KB
3 pages
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Form SFN52427 "Application for Registration of Securities by Qualification" - North Dakota
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47 votes
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1 MB
3 pages
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Form SFN53742 (RO) "Rescission Offer" - North Dakota
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66 votes
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436 KB
2 pages
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Form SFN53493 "Affidavit of Issuer/Dealer Activity" - North Dakota
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34 votes
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353 KB
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Form SFN52009 "Accredited Investor Exemption" - North Dakota
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32 votes
Size:
453 KB
2 pages
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Form SFN51717 (E) "Limited Offeree Exemption Application" - North Dakota
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(4.8 / 5)
61 votes
Size:
1 MB
4 pages
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Form SFN51969 (NP) "Nonprofit Organization Claim of Exemption" - North Dakota
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(4.4 / 5)
55 votes
Size:
508 KB
3 pages
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Form SFN51950 (SOI) "Solicitation of Interest "test the Waters"" - North Dakota
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(4.4 / 5)
46 votes
Size:
393 KB
2 pages
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Form SFN51953 (E (R)) "Limited Offeree Exemption Final Report of Offers and Sales" - North Dakota
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40 votes
Size:
335 KB
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Form SFN51954 (E (R) (S)) "Issuer Exemption Final Report of Sales" - North Dakota
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67 votes
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353 KB
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Form SFN51949 (E (S)) "Issuer Exemption Application" - North Dakota
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(4.3 / 5)
48 votes
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1 MB
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Form SFN51532 (S-6) "Issuer Dealer Renewal Application" - North Dakota
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(4.7 / 5)
47 votes
Size:
411 KB
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Form SFN51529 (S-5) "Application for Registration of Agent" - North Dakota
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(4.5 / 5)
50 votes
Size:
1 MB
4 pages
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Form SFN54147 "Application for Registration of Securities by Announcement - Secondary" - North Dakota
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85 votes
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436 KB
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Form SFN14927 "Complaint Form" - North Dakota
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(4.3 / 5)
24 votes
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437 KB
4 pages
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Form SFN53494 "Affidavit of Investment Advisory Activity" - North Dakota
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(4.9 / 5)
7 votes
Size:
313 KB
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![Form S-4 (SFN51526) "Application for Registration as a Dealer" - North Dakota](https://data.templateroller.com/pdf_docs_html/2077/20770/2077026/form-s-4-sfn51526-application-for-registration-as-a-dealer-north-dakota.png "Form S-4 (SFN51526) "Application for Registration as a Dealer" - North Dakota")
![Form SFN53495 "Affidavit of Broker/Dealer Activity" - North Dakota](https://data.templateroller.com/pdf_docs_html/1885/18850/1885076/form-sfn-53495-affidavit-broker-dealer-activity-north-dakota.png "Form SFN53495 "Affidavit of Broker/Dealer Activity" - North Dakota")
![Form SFN51951 (S-9) "Impoundment Agreement" - North Dakota](https://data.templateroller.com/pdf_docs_html/1863/18638/1863814/form-sfn51951-s-9-impoundment-agreement-north-dakota.png "Form SFN51951 (S-9) "Impoundment Agreement" - North Dakota")
![Form SFN52427 "Application for Registration of Securities by Qualification" - North Dakota](https://data.templateroller.com/pdf_docs_html/1863/18638/1863825/form-sfn52427-application-for-registration-of-securities-by-qualification-north-dakota.png "Form SFN52427 "Application for Registration of Securities by Qualification" - North Dakota")
![Form SFN53742 (RO) "Rescission Offer" - North Dakota](https://data.templateroller.com/pdf_docs_html/1863/18638/1863846/form-sfn53742-ro-rescission-offer-north-dakota.png "Form SFN53742 (RO) "Rescission Offer" - North Dakota")
![Form SFN53493 "Affidavit of Issuer/Dealer Activity" - North Dakota](https://data.templateroller.com/pdf_docs_html/1863/18638/1863842/form-sfn53493-affidavit-of-issuer-dealer-activity-north-dakota.png "Form SFN53493 "Affidavit of Issuer/Dealer Activity" - North Dakota")
![Form SFN52009 "Accredited Investor Exemption" - North Dakota](https://data.templateroller.com/pdf_docs_html/1863/18638/1863820/form-sfn52009-accredited-investor-exemption-north-dakota.png "Form SFN52009 "Accredited Investor Exemption" - North Dakota")
![Form SFN51717 (E) "Limited Offeree Exemption Application" - North Dakota](https://data.templateroller.com/pdf_docs_html/1863/18638/1863810/form-sfn51717-e-limited-offeree-exemption-application-north-dakota.png "Form SFN51717 (E) "Limited Offeree Exemption Application" - North Dakota")
![Form SFN51969 (NP) "Nonprofit Organization Claim of Exemption" - North Dakota](https://data.templateroller.com/pdf_docs_html/1863/18638/1863819/form-sfn51969-np-nonprofit-organization-claim-of-exemption-north-dakota.png "Form SFN51969 (NP) "Nonprofit Organization Claim of Exemption" - North Dakota")
![Form SFN51950 (SOI) "Solicitation of Interest "test the Waters"" - North Dakota](https://data.templateroller.com/pdf_docs_html/1863/18638/1863813/form-sfn51950-soi-solicitation-of-interest-test-the-waters-north-dakota.png "Form SFN51950 (SOI) "Solicitation of Interest "test the Waters"" - North Dakota")
![Form SFN51953 (E (R)) "Limited Offeree Exemption Final Report of Offers and Sales" - North Dakota](https://data.templateroller.com/pdf_docs_html/1863/18638/1863815/form-sfn51953-e-r-limited-offeree-exemption-final-report-of-offers-and-sales-north-dakota.png "Form SFN51953 (E (R)) "Limited Offeree Exemption Final Report of Offers and Sales" - North Dakota")
![Form SFN51954 (E (R) (S)) "Issuer Exemption Final Report of Sales" - North Dakota](https://data.templateroller.com/pdf_docs_html/1863/18638/1863817/form-sfn51954-e-r-s-issuer-exemption-final-report-of-sales-north-dakota.png "Form SFN51954 (E (R) (S)) "Issuer Exemption Final Report of Sales" - North Dakota")
![Form SFN51949 (E (S)) "Issuer Exemption Application" - North Dakota](https://data.templateroller.com/pdf_docs_html/1863/18638/1863812/form-sfn51949-e-s-issuer-exemption-application-north-dakota.png "Form SFN51949 (E (S)) "Issuer Exemption Application" - North Dakota")
![Form SFN51532 (S-6) "Issuer Dealer Renewal Application" - North Dakota](https://data.templateroller.com/pdf_docs_html/1863/18638/1863809/form-sfn51532-s-6-issuer-dealer-renewal-application-north-dakota.png "Form SFN51532 (S-6) "Issuer Dealer Renewal Application" - North Dakota")
![Form SFN51529 (S-5) "Application for Registration of Agent" - North Dakota](https://data.templateroller.com/pdf_docs_html/1863/18638/1863807/form-sfn51529-s-5-application-for-registration-of-agent-north-dakota.png "Form SFN51529 (S-5) "Application for Registration of Agent" - North Dakota")
![Form SFN54147 "Application for Registration of Securities by Announcement - Secondary" - North Dakota](https://data.templateroller.com/pdf_docs_html/2079/20796/2079621/form-sfn54147-application-for-registration-of-securities-by-announcement-secondary-north-dakota.png "Form SFN54147 "Application for Registration of Securities by Announcement - Secondary" - North Dakota")
![Form SFN14927 "Complaint Form" - North Dakota](https://data.templateroller.com/pdf_docs_html/1867/18670/1867092/form-sfn14927-complaint-form-north-dakota.png "Form SFN14927 "Complaint Form" - North Dakota")
![Form SFN53494 "Affidavit of Investment Advisory Activity" - North Dakota](https://data.templateroller.com/pdf_docs_html/1867/18670/1867093/form-sfn53494-affidavit-of-investment-advisory-activity-north-dakota.png "Form SFN53494 "Affidavit of Investment Advisory Activity" - North Dakota")
