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North Dakota Affidavit of Investment Advisor Activity

Category:
North Dakota Secretary of State - Blue Sky - Securities
State:
North Dakota
Control #:
ND-SKU-0037
Format:
PDF
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Description

Affidavit of Investment Advisor Activity The North Dakota Affidavit of Investment Advisor Activity is a form issued by the North Dakota Securities Commissioner to be completed by investment advisors who are registered with the state. It is a declaration of the activity of the advisor within the state of North Dakota, including any activities related to the buying, selling, or exchanging of securities. The affidavit must be filed annually and must include details such as the number of clients served, the types of securities purchased or sold, and the fees charged. There are two types of North Dakota Affidavit of Investment Advisor Activity: the Individual Affidavit and the Firm Affidavit. The Individual Affidavit is completed by the individual advisor and details their own activities, while the Firm Affidavit is completed by the firm and details the activities of the firm and its registered individuals. Both forms must be signed and notarized, and must be filed with the North Dakota Securities Commissioner.

The North Dakota Affidavit of Investment Advisor Activity is a form issued by the North Dakota Securities Commissioner to be completed by investment advisors who are registered with the state. It is a declaration of the activity of the advisor within the state of North Dakota, including any activities related to the buying, selling, or exchanging of securities. The affidavit must be filed annually and must include details such as the number of clients served, the types of securities purchased or sold, and the fees charged. There are two types of North Dakota Affidavit of Investment Advisor Activity: the Individual Affidavit and the Firm Affidavit. The Individual Affidavit is completed by the individual advisor and details their own activities, while the Firm Affidavit is completed by the firm and details the activities of the firm and its registered individuals. Both forms must be signed and notarized, and must be filed with the North Dakota Securities Commissioner.

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