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North Dakota Affidavit of Issuer-Dealer Activity

Category:
North Dakota Secretary of State - Blue Sky - Securities
State:
North Dakota
Control #:
ND-SKU-0038
Format:
PDF
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Description

Affidavit of Issuer-Dealer Activity The North Dakota Affidavit of Issuer-Dealer Activity is a legal document filed with the Securities Commissioner of the State of North Dakota. It is used to provide a record of the securities transactions conducted by an issuer or dealer in the state. The document must be filed by the issuer or dealer before engaging in any securities transactions in the state. It is a requirement of the North Dakota Securities Act. The affidavit contains information about the securities transactions conducted, including the name and address of the issuer or dealer, the type of securities, the method of sale, the number of securities issued, the price of the securities, and the amount of compensation paid to the issuer or dealer. It also includes a statement of the issuer or dealer’s intention to comply with the North Dakota Securities Act. There are two types of North Dakota Affidavit of Issuer-Dealer Activity: • Initial Affidavit of Issuer-Dealer Activity: This document is used by an issuer or dealer to file for the initial registration of their securities in the state. • Renewal Affidavit of Issuer-Dealer Activity: This document is used by an issuer or dealer to file for the renewal of their securities in the state.

The North Dakota Affidavit of Issuer-Dealer Activity is a legal document filed with the Securities Commissioner of the State of North Dakota. It is used to provide a record of the securities transactions conducted by an issuer or dealer in the state. The document must be filed by the issuer or dealer before engaging in any securities transactions in the state. It is a requirement of the North Dakota Securities Act. The affidavit contains information about the securities transactions conducted, including the name and address of the issuer or dealer, the type of securities, the method of sale, the number of securities issued, the price of the securities, and the amount of compensation paid to the issuer or dealer. It also includes a statement of the issuer or dealer’s intention to comply with the North Dakota Securities Act. There are two types of North Dakota Affidavit of Issuer-Dealer Activity: • Initial Affidavit of Issuer-Dealer Activity: This document is used by an issuer or dealer to file for the initial registration of their securities in the state. • Renewal Affidavit of Issuer-Dealer Activity: This document is used by an issuer or dealer to file for the renewal of their securities in the state.

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North Dakota Affidavit of Issuer-Dealer Activity
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