Securities Department Forms



Notice to Issuers: Effective September 25, 2015, the Office of the Montana State Auditor, Commissioner of Securities and Insurance, will require all issuers filing pursuant to Mont. Code Ann. § 30-10-211(2) [Reg D, Rule 506 filings] to file electronically through the Electronic Filing Depository

Uniform Registration Forms

  Form U1: Uniform Application to Register Securities
  Form U2: Uniform Consent to Service of Process
  Form U4: Uniform Application For Securities Industry Registration or Transfer (Link to FINRA)
  Form U5: Uniform Termination Notice For Securities Industry Registration (Link to FINRA)
  Form U-SB: Surety Bond Form
  Form LT-1: Uniform Application to Offer or Sell Living Trusts

  Schedule A
  Schedule B

Non-Uniform Securities Forms

  Application for Exemption of Registration: MCA §30-10-105(8b)
  Report of Securities Sales
CF-1: Application for Crowdfunding Exemption

Multi-Level Marketing Companies

MLD-1: Registration Form



Need more help?
  Call the Commissioner’s hotline at 800-332-6148