North Dakota Securities Department Forms

19
total templates

Documents

19

Form S-4 (SFN51526) "Application for Registration as a Dealer" - North Dakota

Rate (4.6 / 5) 21 votes
Size: 1 MB
4 pages

Form SFN53495 "Affidavit of Broker/Dealer Activity" - North Dakota

Rate (4.8 / 5) 69 votes
Size: 1 MB
1 page

Form SFN51951 (S-9) "Impoundment Agreement" - North Dakota

Rate (4.5 / 5) 43 votes
Size: 440 KB
3 pages

Form SFN52427 "Application for Registration of Securities by Qualification" - North Dakota

Rate (4.4 / 5) 47 votes
Size: 1 MB
3 pages

Form SFN53742 (RO) "Rescission Offer" - North Dakota

Rate (4.4 / 5) 66 votes
Size: 436 KB
2 pages

Form SFN53493 "Affidavit of Issuer/Dealer Activity" - North Dakota

Rate (4.6 / 5) 34 votes
Size: 353 KB
1 page

Form SFN52009 "Accredited Investor Exemption" - North Dakota

Rate (4.5 / 5) 32 votes
Size: 453 KB
2 pages

Form SFN51717 (E) "Limited Offeree Exemption Application" - North Dakota

Rate (4.8 / 5) 61 votes
Size: 1 MB
4 pages

Form SFN51969 (NP) "Nonprofit Organization Claim of Exemption" - North Dakota

Rate (4.4 / 5) 55 votes
Size: 508 KB
3 pages

Form SFN51950 (SOI) "Solicitation of Interest "test the Waters"" - North Dakota

Rate (4.4 / 5) 46 votes
Size: 393 KB
2 pages

Form SFN51953 (E (R)) "Limited Offeree Exemption Final Report of Offers and Sales" - North Dakota

Rate (4.6 / 5) 40 votes
Size: 335 KB
1 page

Form SFN51954 (E (R) (S)) "Issuer Exemption Final Report of Sales" - North Dakota

Rate (4.8 / 5) 67 votes
Size: 353 KB
1 page

Form SFN51949 (E (S)) "Issuer Exemption Application" - North Dakota

Rate (4.3 / 5) 48 votes
Size: 1 MB
4 pages

Form SFN51532 (S-6) "Issuer Dealer Renewal Application" - North Dakota

Rate (4.7 / 5) 47 votes
Size: 411 KB
1 page

Form SFN51529 (S-5) "Application for Registration of Agent" - North Dakota

Rate (4.5 / 5) 50 votes
Size: 1 MB
4 pages

Form SFN54147 "Application for Registration of Securities by Announcement - Secondary" - North Dakota

Rate (4.5 / 5) 85 votes
Size: 436 KB
1 page

Form SFN14927 "Complaint Form" - North Dakota

Rate (4.3 / 5) 24 votes
Size: 437 KB
4 pages

Form SFN53494 "Affidavit of Investment Advisory Activity" - North Dakota

Rate (4.9 / 5) 7 votes
Size: 313 KB
1 page