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.
NOTICE: 2014 Issuer Appointed Salesperson Renewals Due December 31, 2013
A $50 registration fee and a copy of page 1 of the most recent U-4 form must be received prior to December 31, 2013. Please make payments directly to the State of Montana Securities Department and mail to 840 Helena Ave., Helena, MT 59601.