South Dakota Division of Insurance · Securities Regulation

South Dakota securities registration evidence

South Dakota securities regulator source map. State investment advisers, SEC notice filings, exempt reporting advisers, IAR persons, broker-dealers, agents, and enforcement records remain separate populations.

Official regulator pages checked October 14, 2026. A current dated South Dakota jurisdiction roster was not acquired in this pass: NOT_ACQUIRED. This does not mean zero registrants.

Regulatory populations stay separate

South Dakota state investment adviser firms: state registration on IARD under SDCL 47-31B-406. Registrations expire December 31 unless renewed. Current jurisdiction rows NOT_ACQUIRED.
Federal covered advisers and notice filings: ARSD 20:08:07 is a notice-filing class, distinct from state adviser registration.
Exempt reporting advisers: a separately reported category, not presumed state-registered investment advisers.
Investment adviser representatives: individual persons, distinct from firms. Current person rows NOT_ACQUIRED.
Broker-dealers and agents: ARSD 20:08:03. Firms and agents are separate populations.
Franchise and business-opportunity filings: SDCL chapters 37-5B and 37-25A. They are not investment-adviser or broker-dealer records.
Orders and complaints: the Division’s enforcement program is a separate clock. No name-only adverse joins.

Use regulatory jurisdiction and filing status. Principal-office geography alone does not establish South Dakota registration.

Official sources and clocks

Division pages and IAPD/BrokerCheck are lookup paths checked October 14, 2026. No dated South Dakota jurisdiction extract was acquired. State advisers, federal notice filings, ERA, IAR persons, broker-dealers, agents, franchise filings, and orders stay distinct.