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North Dakota Issuer Exemption Final Report of Sales

Category:
North Dakota Secretary of State - Blue Sky - Securities
State:
North Dakota
Control #:
ND-SKU-0047
Format:
PDF
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Description

Issuer Exemption Final Report of Sales The North Dakota Issuer Exemption Final Report of Sales is a document that is filed with the North Dakota Securities Department by an issuer or broker-dealer after selling securities in the state. This report must include the number of shares sold, the security’s issuer or originator, and the name and address of the purchaser. There are two types of North Dakota Issuer Exemption Final Report of Sales: the Form U-5 and Form U-7. The Form U-5 is for sales of securities that qualify for an exemption under North Dakota’s Uniform Securities Act, while the Form U-7 is for sales of securities that do not qualify for an exemption. Both forms must be filed with the North Dakota Securities Department within 15 days of the sale.

The North Dakota Issuer Exemption Final Report of Sales is a document that is filed with the North Dakota Securities Department by an issuer or broker-dealer after selling securities in the state. This report must include the number of shares sold, the security’s issuer or originator, and the name and address of the purchaser. There are two types of North Dakota Issuer Exemption Final Report of Sales: the Form U-5 and Form U-7. The Form U-5 is for sales of securities that qualify for an exemption under North Dakota’s Uniform Securities Act, while the Form U-7 is for sales of securities that do not qualify for an exemption. Both forms must be filed with the North Dakota Securities Department within 15 days of the sale.

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