Montana Securities Act Overview
Summary
The Montana Securities Division provides an overview of the Montana Securities Act, emphasizing its role in investor protection, capital formation, and promoting uniformity among states. The page highlights key statistics for broker-dealer firms, capital approved, and issuer filings in Montana.
What changed
This document serves as an informational overview of the Montana Securities Act, outlining its purpose to protect investors and promote capital formation within the state. It details the Securities Division's functions, including registration, examinations, investigations, and outreach, to ensure a competitive market and expand investment choices for Montanans. Key statistics are provided, such as the number of licensed broker-dealer firms, capital approved for business formation, and issuer filings processed.
While this document is primarily informational and does not introduce new regulatory requirements or deadlines, regulated entities and investors should be aware of the Division's oversight functions. Compliance professionals should note the emphasis on registration, examination, and investigation, which are core activities of the Securities Division. Resources for consumers and professionals are linked, including complaint filing and registration information.
Source document (simplified)
SECURITIES
File Complaint | Report Fraud Contact Us Capital Formation Registration & Fees Broker Check
The Securities Act of Montana was designed to protect investors and persons engaged in securities transactions. The structure of the Act is designed to encourage, promote, and facilitate Montana investment opportunities while promoting uniformity among the states. Together, these three tasks— investor protection, capital formation, and uniformity —guide our processes and policies.
The Securities Division accomplishes this by ensuring all persons and offerings are registered with the agency (or have a valid exemption for not registering), conducting examinations of our registered entities, investigating allegations of wrongdoing, and promoting outreach to Montana citizens. This enables the Securities Division to ensure a competitive market for companies and expand choices for Montanans about how to invest their money.
1,305 BROKER-DEALER FIRMS LICENSED IN MONTANA AS OF 6/30/25
$ 188,544,848 CAPITAL APPROVED FOR MONTANA BUSINESS FORMATION IN FY2025
25,618 ISSUER FILINGS PROCESSED IN FY2025 WITH THE CSI
CONSUMERS
Consumer Protection Resources Investors Rights How to Protect Yourself Living Trusts Common Investing Scams Restitution Assistance Fund Military Resources File a Complaint or
Report Fraud Laws & Rules Sign Up for CSI Updates Request a Presentation Other Organizations Securities Forms
PROFESSIONALS
Compliance Registration & Fees Broker-Dealers Investment Advisers Capital Formation Multi-level Marketing Firms Professionals
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