/> Securities Regulation

Marcia Hultman

Cabinet Secretary

Font Size: A A A

Securities Regulation

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 of the documents available below are in Adobe PDF format.

Filing Fees for Open Ends Funds

Avoiding Common Deficiencies Found in Investment Adviser Applications

Top Investor Threats

Crowdfunding Advisory

Temporary Order Mandating Payment and Notice Filing by Issuer Making a Regulation A, Tier 2 Offer

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

124 S. Euclid Ave., Suite 104
Pierre, SD 57501-3185
Phone: 605.773.4823
Fax: 605.773.5953

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