/> Securities Regulation

Marcia Hultman

Cabinet Secretary

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Division of Insurance - Securities Regulation

The mission of the Division of Insurance - Securities Regulation 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 Division of Insurance - Securities Regulation

Most of the documents available below are in Adobe PDF format.

Investor Alerts

Notice Filing Rules for Federal Crowdfunding Offerings

Notice Filing Rules for Regulation A Tier II Offerings

Filing Fees for Open Ends Funds

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 Avenue, 2nd Floor
Pierre, SD 57501
Phone: 605.773.3563 - ask for Securities Regulation
Fax: 605.773.5953
email

When submitting checks to the Division of Insurance - Securities Regulation, please make checks payable to Division of Insurance - Securities Regulation.