SECURITIES LAWS & RULES
The Securities Department enforces the Montana Securities Act specifically relating to:
- Registration of broker-dealers, investment advisers, salespeople, and representatives
- Registration, notification, and exemption of securities issuers
- Fraudulent and unethical practices relating to broker-dealers, investment advisers, salespeople and representatives
- Multi-level marketing companies
- Living Trust Companies
Securities firms and securities industry professionals, securities issuers, multi-level marketing companies, and living trust companies wishing to advertise or do business to or from Montana are strongly encouraged to read the chapter of the Administrative Rules of Montana that relates to the Montana Securities Act.
Please visit the link below to read the chapter of the Administrative Rules of Montana that relate to the Montana Securities Act:
ADMINISTRATIVE RULES OF MONTANA
MONTANA CODE ANNOTATED
- Registration: § 30-10-201
- Fees: § 30-10-209
- Offenses and Penalties: §§ 30-10-301 thru 30-10-323
- Exemptions: §§ 30-10-104 and 30-10-211
- Notice Filings: § 30-10-211
- Registration: §§ 30-10-202 thru 30-10-208
- Fees: § 30-10-209
- Offenses and Penalties: §§ 30-10-301 thru 30-10-323
- Notice Filing: §§ 30-10-324 thru 30-10-327
- MLM Form: MLM Form
- Montana Living Trust Act: §§ 30-10-901 thru 30-10-915
- FORM LT-1 Uniform Application to Offer or Sell Living Trusts: FORM LT-1 Uniform Application to Offer or Sell Living Trusts
- FORM LT-1 Schedule A Additional Applicants: FORM LT-1 Schedule A Additional Applicants
- FORM LT-1 Schedule B Additional Information: FORM LT-1 Schedule B Additional Information