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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
- COVID-19 Investor Threats
- Robo-Advisers
- Promissory Notes
- Cryptocurrency
- Initial Coin Offering (ICOs)
- Crowdfunding Advisory
- more topics....
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: 605.773.5369
email
When submitting checks to the Division of Insurance - Securities Regulation, please make checks payable to Division of Insurance - Securities Regulation.