An ordinary North Dakota broker-dealer agent files Form U4 through CRD and pays a $75 initial state fee and $75 annual renewal fee. North Dakota lists SIE, Series 7, and Series 63 or Series 66, while allowing another product or business examination when required by the Commissioner. Registration is firm-associated and must be effective before activity begins.
Prelicensing education
- Education requirement explanation
- Qualification and any accepted alternative or waiver must match the current state rule; examination passage alone is not registration.
Background
- Fingerprint / background instructions
- Form U4 disclosures and regulator follow-up apply; no separate fingerprint requirement is inferred unless expressly documented.
Application
- Application fee
- The current official regulator page lists $75 for initial registration and $75 for annual renewal.
- Application channel / system
- The employing firm files Form U4 through CRD; filing and examination passage do not create registration.
- Official application reference
- https://www.insurance.nd.gov/securities/broker-dealer-and-agent-registration
Renewal & maintenance
- CE hours
- FINRA, state, and firm continuing-education duties depend on effective registrations and current rules.
Portability
- Portability / mobility notes
- Registration is firm-, function-, and jurisdiction-specific; examination validity and approval are separate.
Military / veteran / spouse
- Military experience / education credit
- No broad military credit is asserted unless expressly documented.
Source governance
- Primary authoritative source
- https://www.insurance.nd.gov/securities/broker-dealer-and-agent-registration
- Last verified date
- 2026-08-31
- Verification status
- Verified
- Review / recheck date
- 2026-09-30
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