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, as well as 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.
Montana Code Annotated
Broker-Dealers, Investment Advisers, Securities Salespeople, Investment Adviser Representatives
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.
Multi-level Marketing Companies
Living Trust Companies
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