For Professionals


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The Securities Department protects Montana investors by regulating securities transactions.

Brokerage firms and their representatives doing business in Montana must be registered with the department. The department also registers some of the investment advisers in Montana and all investment adviser representatives in Montana.

In addition to registering firms and salespeople, the department registers some of the securities that are bought and sold in Montana. There are exemptions available, which permit the offer and sale of certain securities without being registered with the department.



Compliance

Securities products and investment opportunities require compliance with the Securities Act of Montana and/or the Insurance Code. Learn more

Registration & Fees

The Montana Securities Department uses the FINRA’s Central Registration Depository to register FINRA member firms. Learn more

Capital Formation

When you raise money from friends, family members or other individuals to finance an enterprise, you may be “offering or selling a security.” Learn more


Multi-level Marketing Firms

Multi-level marketing firms conducting business in Montana must file with our office. Learn more

Forms

A list of the forms the Securities Department uses. Learn more

Laws

Our office regulates the Securities industry in accordance to the Securities Act of Montana. Learn more


Administrative Rules

Administrative rules are agency regulations that have the force and effect of law. These rules elaborate the requirements of a law or policy. Learn more

Complaints/Fraud

The Securities Department investigates investigates complaints about firms, salespeople, and securities scams. Learn more
The Securities Department
Office of the Montana State Auditor
840 Helena Ave. Helena, MT 59601
(800) 332-6148 or (406) 444-2040
Staff Directory


NOTICE TO FINRA BROKER-DEALER FIRMS
Montana does not require audited financials. We are a paperless state. 30-10-201(11), MCA.