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Securities Department
Securities Department
The
Securities Department
protects Montana investors by regulating securities transactions. The department registers securities, brokerage firms, investment advisory firms and individuals working for those firms.
Securities Forms
Are you Properly Licensed?
How to Register Firms, Salespersons and Representatives
How to Register as an Investment Advisor
Fees & Registration Requirements
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Administrative Rules
Capital Formation
MONTANA DOES NOT REQUIRE AUDITED FINANCIALS.
WE ARE A PAPERLESS STATE.
30-10-201(11), MCA.
THANK YOU
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