Department of Labor and Regulation

Title - Division of Securities

Please Note: All South Dakota Department of Labor and Regulation offices will be closed Thursday, Nov.27, and Friday, Nov. 28 for the Thanksgiving Holiday.

The mission of the Division of Securities is to protect investors of securities products, franchises and business opportunities by investigating complaints, conducting examinations, enforcing anti-fraud provisions, ensuring investments sold meet standards of full disclosure and providing investor education.

Important News from the Department of Labor and Regulation
{most available in Adobe .pdf format*)

Avoiding Common Deficiencies Found in Investment Adviser Applications

Cons Find Profit in Get-Rich-Quick Schemes Tied to Economic Uncertainty

Crowdfunding Advisory

Making Sense of Financial Professional Titles

Where to Turn for Help with Your Investments

South Dakota Codified Laws (SDCL) Enforced by this Division

Uniform Securities Act of 2002 - SDCL Chapter 47-31B

Franchise Investments - SDCL Chapter 37-5B

Business Opportunity Law - SDCL Chapter 37-25A

Administrative Rules of South Dakota (ARSD) Regulated and Enforced by this Division

Broker Dealers and Agents - ARSD 20:08:03

Registration Requirements and Procedures - ARSD 20:08:04

Investment Advisers - ARSD 20:08:05

Notice Filings for Covered Securities and Registration Exemptions - ARSD 20:08:07

Contact Us

445 East Capitol Avenue
Pierre, SD 57501-3185
Phone: 605.773.4823
Fax: 605.773.5953
email

When submitting checks to the Division of Securities, please make payable to: South Dakota Division of Securities.

*Opening and printing Adobe .pdf files requires Adobe Acrobat Reader. Click here as needed to download the free Adobe Acrobat Reader.

 

 


Division of Securities
445 E. Capitol Avenue
Pierre, SD 57501-3185
Tel. 605.773.4823
Fax. 605.773.5953