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 
• Securities Statutes
• Administrative Rules
• Capital Formation

NOTICE TO FINRA BROKER-DEALER FIRMS

MONTANA DOES NOT REQUIRE AUDITED FINANCIALS.
WE ARE A PAPERLESS STATE. 
30-10-201(11), MCA. 
THANK YOU