Hot Issues
The Division of Securities has enacted a new franchise act under chapter 37-5B entitled "Franchise Investment." The new chapter went into effect July 1, 2008. Chapter 37-5A was repealed.
General Topics
Notice filing Rule 506. Pursuant to rule 20:08:07:03.02(3), the Division as a policy will accept an electronically signed Form D. The Division will also accept the consent to Service of Process as contained in the electronic Form D in lieu of the paper Form U-2. The appendix in the old Form D also does not have to be filed with the Division.
The Division of Securities sets rules and procedures to ensure that investments sold in South Dakota meet standards of full disclosure.
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Securities
and Exchange Commission (SEC)
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Senior Investors
- Investing Online Resource Center
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Users will find a complete list of Broker-Dealer licensing forms and fees.
How to Check on a Registered Broker/Dealer or an Agent
Users can go to a national website called http://www.nasdbrokercheck.com and check on the company or the person they wish to check on or they may call the Division for information.
Look Up a Securities Firm or Broker
Investment Adviser and Investment Adviser Representative Licensing
Registering with IARD, applications, fees and more.
Franchise & Business Opportunities Registration
All franchises and business opportunities, offered or sold
in South Dakota must either be registered or exempt from registration.
Find out more.
Please make checks payable to the South Dakota Division of Securites
Find a complete list of state and federal forms.
Enforcement and Investor Complaints
Providing beginning investors information on how to choose a stock broker or investment advisor/planner. Learn more.
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