Form Sfn 2520 - Dealer-Investment Advisor Indemnity Bond

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Securities Department
Bond Number:
600 East Boulevard
Bismarck, ND 58505
SFN 2520 (6-2011)
(701) 328-2910
That ____________________________________________________________________________ of the City of
_____________________________________________________, State of ___________________________ as
Principal, and ________________________________________________________________________, an entity
authorized to do business in the State of North Dakota, as Surety, are by this obligation held and firmly bound unto
the State of North Dakota for the use, benefit, and protection of any person (as that term is defined in the Securities
), lawful money
Act of 1951, as amended) in the penal sum of
of the United States of America, for the payment of which sum, well and truly to be made, we bind ourselves, our
heirs, executors, administrators, successors and assigns, jointly and severally, firmly by these presents.
The conditions of this obligation are such that, whereas, the said Principal has applied or intends to apply for
registration pursuant to the Securities Act of 1951, as amended:
NOW, THEREFORE, THIS INDENTURE WITNESSETH, that if the said Principal, his agents, or his
representatives shall faithfully comply with all of the provisions of the Securities Act of 1951 as amended, and with
all rules, regulations, and orders made pursuant thereto and shall faithfully perform and pay all obligations of the
said Principal, his agents, or his representatives, then this obligation to be void, otherwise to remain in full force and
This bond is a continuing obligation and shall cover the full period or periods of registration of the Principal under
the Securities Act of 1951, as amended, including the present and all renewal registrations which said Principal
may be granted; provided, that it is hereby expressly agreed that nothing herein contained shall be deemed or
construed to reduce the liability of the Principal and Surety below the penal sum set forth above for each and every
registration period for which the named Principal shall be registered, the same as if a new bond in the said penal
sum were entered into for each and every separate registration period.
This bond may be cancelled at any time by the Surety by giving written notice of such cancellation by registered
mail to the Securities Department and to the Principal, and liability hereunder shall terminate thirty (30) days after
receipt by the Securities Department of such notice, except that the liability of the Principal and Surety shall apply
as provided herein to any acts or omissions which may have occurred prior to the effective date of such
IN WITNESS WHEREOF, the Principal and Surety have hereunto set their hands and affixed their respective seals this
, 20
(If applicable)
Address of Attorney-in-Fact:
(If applicable)
Zip Code:
Attorney-in-Fact must attach valid Power of Attorney from Surety.
If Principal is a corporation, officer signing must attach resolution authorizing execution.


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