SECURITIES FORMS
All the forms you will find in the securities section of our website are located here by subject.
- How to Protect Yourself—While talking to my Broker
- Living Trust Schedule A
- Proper disclosure of outside business activities
- Living Trust Schedule B
- Application for Restitution Assistance
- Military Assistance Deployment Checklist
- Consumer or Professional Online Complaint Form
- Consumer or Professional Paper Complaint Form
- Securities Presentation Request Form
REGISTRATION & FEES
- Broker-Dealer Firm Requirements–Uniform Form BD
- Broker-Dealer Representatives–Uniform Form U-4
- Broker-Dealer Representatives–MOntana Affidavit of Residency
- W-9
- Investment Adviser Firms—IA Firm Registration
- Investment Adviser Firms—ADV 2 Guidance
- Investment Adviser Representatives—IA Representative Registration
- Investment Adviser Representatives—Montana Affidavit of Residency
REGISTRATION & FEES
- Broker-Dealer Firm Requirements–Uniform Form BD
- Broker-Dealer Representatives–Uniform Form U-4
- Broker-Dealer Representatives–MOntana Affidavit of Residency
- W-9
- Investment Adviser Firms—IA Firm Registration
- Investment Adviser Firms—ADV 2 Guidance
- Investment Adviser Representatives—IA Representative Registration
- Investment Adviser Representatives—Montana Affidavit of Residency
The CSI routinely conducts examinations of our state registered investment advisors and broker-dealer firms and salespersons. As a part of the CSI’s responsibility to examine registrants, a review of required books and records will be conducted by the CSI in accordance with Mont. Code Ann. § 30-10-201(12) and Admin. R. Mont. 6.10.501. Examination costs are borne by the registrant pursuant to Mont. Code Ann. § 30-10-210. Each year the CSI will publish a list of exam priorities. For the year 2024, those priorities are:
- Cybersecurity
- Suitability of trading strategy
- Proper disclosure of outside business activities
- FINRA Rule 2121 Compliance
- Compliance with Regulation Best Interest