STATE AUDITOR
6.10 - securities department
6.10.101 applicability of chapter
6.10.102 definitions
6.10.103 sales materials
6.10.104 promotional securities--escrow
6.10.104A definition of promotional or developmental stage (is hereby repealed)
6.10.105 promotional securities--required waivers
6.10.106 new venture financing (is hereby repealed)
6.10.107 filing of registration statements--when complete (is hereby repealed)
6.10.108 notice of termination of offering--change of officers
6.10.109 filing by brokers, dealers, and salesmen
6.10.110 stock subscription agreement--no default or penalty provision
6.10.111 warrants and options
6.10.112 blotters or records of original entry required
6.10.113 ledgers required
6.10.114 memoranda of brokerage orders and instructions required
6.10.115 memoranda of purchase and sales orders required
6.10.116 copies of confirmations required
6.10.117 cash and margin account records required
6.10.118 monthly trial balances required
6.10.119 quarterly and annual statements required
6.10.120 montana limited offering exemption
6.10.121 registration and examination - securities salesperson, investment adviser representatives, broker-dealers, and investment advisers
6.10.122 broker-dealer books and records
6.10.123 investment adviser books and records
6.10.124 montana investment capital exemption
6.10.125 foreign savings and loan association exemption
6.10.126 fraudulent and unethical practices prohibited by broker-dealers and salesmen
6.10.127 fraudulent, unethical and deceptive practices prohibited
6.10.128 purpose and scope
6.10.129 authority
6.10.130 second tier limited offering exemption
6.10.131 foreign security exemption
6.10.132 sanctions against fraudulent foreign securities and their dealers
6.10.133 internet
6.10.134 transactional exemptions for cooperative arsociations
6.10.135 canadian broker-dealers and salespersons
6.10.136 minimum financial requirements and financial reporting of broker-dealers
6.10.138 broker-dealer books and records
6.10.140 minimum financial requirements for investment advisers
6.10.141 bonding requirements for certain investment advisers
6.10.142 custody of client funds or securities by investment advisers
6.10.143 investment adviser books and records
6.10.145 notice filing requirements for federal covered advisers
6.10.147 notice filings for offerings of investment company securities
6.10.148 notice filings for offerings of federal covered securities under 18(b) (3) or (4) of the securities act of 1933
6.10.149 notice filing procedures for rule 506 offerings
6.10.150 incorporation by reference consents to service of process previously filed
6.10.201 sales materials
6.10.202 promotional securities--escrow
6.10.203 promotional securities--required waivers
6.10.205 notice of termination of offering--change of officers
6.10.206 stock subscription agreement--no default or penalty provision
6.10.207 warrants and options
6.10.208 notice filings for offerings of investment company securities
6.10.209 notice filings for offerings of federal covered securities under 18(b)(3) or (4) of the securities act of 1933
6.10.210 notice filing procedures for rule 506 offerings
6.10.211 notice filing rule for regulation a-tier 2 offerings
6.10.301 montana limited offering exemption
6.10.302 foreign savings and loan association exemption
6.10.303 second tier limited offering exemption
6.10.305 foreign security exemption
6.10.306 transactional exemptions for cooperative associations
6.10.307 filings requirement for transactional exemption pursuant to 30-10-105(15), mca
6.10.308 merger and acquisition broker exemption
6.10.401 fraudulent and unethical practices prohibited by broker-dealers and salesmen
6.10.402 fraudulent and unethical practices prohibited by investment advisers, investment adviser representatives, and federal covered advisers
6.10.403 sanctions against fraudulent foreign securities and their dealers
6.10.501 registration and examination - securities salesperson, investment adviser representatives, broker-dealers, and investment advisers
6.10.502 canadian broker-dealers and salespersons
6.10.502 canadian broker-dealers and salespersons
6.10.503 minimum financial requirements and financial reporting of broker-dealers
6.10.504 broker-dealer books and records
6.10.506 minimum financial requirements for investment advisers
6.10.507 bonding requirements for certain investment advisers
6.10.508 custody of client funds or securities by investment advisers
6.10.510 investment adviser books and records
6.10.511 notice filing requirements for federal covered advisers
6.10.601 senior specific certifications and designations generally unlawful
6.10.602 rebuttabe presumption regarding certain disqualifications
6.10.604 factors considered to determine unlawful certifications or designations
6.10.605 certifications or designations not considered unlawful
6.10.607 rules not limiting authority
6.10.608 filings requirement for transactional exemption pursuant to 30-10-105(15), mca
6.10.701 securities restitution fund
6.10.702 definitions
6.10.703 method for calculating percentages as the fund approaches zero
6.10.705 composition of the committee
6.10.706 committee procedures
6.10.707 application review requirements