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