State-Specific Information

North Dakota

• You must file in at least two of the ten states to qualify for Midwest Regional Review.
• Once the initial application has been received, you may not add other states to that application.
• Once the initial application has been received, you may file for Midwest Regional Review in at least two additional states, but will be subject to a new coordinated review.

To Other State Information Pages

• ILLINOIS
• INDIANA
• IOWA
• KANSAS
• MICHIGAN
• MISSOURI
• NEBRASKA
• SOUTH DAKOTA
• WISCONSIN

General Information

• INTRODUCTION
• APPLICATION
• EXHIBITS
• SCOR STATEMENT OF POLICY

Midwest Regional Review Program Home Page

Address:

600 East Boulevard
Bismarck, ND  58505

Contact: Harold P. Kocher, Chief Examiner

Telephone Number: (701) 328-2910

E-mail: hkocher@state.nd.us

Fax Number: (701) 255-3113

Website Address: http://www.state.nd.us/securities

Checks Payable To: North Dakota Securities Commissioner

Rule 504 Filing Fees: 1/10 of 1% of the 1st $750,000, 1/20 of 1% thereafter, minimum of $100, for registration.

Reg A Filing Fees: 1/10 of 1% of the 1st $750,000, 1/20 of 1% thereafter, minimum of $100, for registration.

Agent Issuer Fees and Filing and Testing Requirements: $200 dealer fee, $60 per agent.  Exams waived for two officers of the issuer.

Post-Effective Filing That Requires Fee: None