BEFORE THE STATE AUDITOR AND COMMISSIONER OF SECURITIES

                                                OF THE STATE OF MONTANA

 

In the matter of the amendment of ARM 6.2.124 regarding Judicial Review, ARM 6.10.101 and 6.10.102 regarding Securities Regulation, the transfer of ARM 6.10.104, 6.10.105, 6.10.108, 6.10.110, 6.10.125, 6.10.132, 6.10.134, 6.10.147, and 6.10.148, the amendment and transfer of ARM 6.10.103, 6.10.111, 6.10.120, 6.10.121, 6.10.126, 6.10.127, 6.10.130, 6.10.131, 6.10.135, 6.10.136, 6.10.138, 6.10.140, 6.10.141, 6.10.142, 6.10.143, 6.10.145, and 6.10.149 regarding Securities Regulation, and the adoption of NEW RULES I through VI pertaining to Senior Specific Certifications and Designations, and Filing Requirements for Transactional Exemptions

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NOTICE OF AMENDMENT, TRANSFER, AMENDMENT AND TRANSFER, AND ADOPTION

TO: All Concerned Persons

 

            1. On August 14, 2008, the State Auditor and Commissioner of Securities published MAR Notice No. 6-180 regarding the public hearing on the proposed amendment, transfer, amendment and transfer, and adoption of the above-stated rules at page 1635 of the 2008 Montana Administrative Register, issue number 15.

 

2. On September 5, 2008, the State Auditor and Commissioner of Securities held a public hearing to consider the proposed amendment, transfer, amendment and transfer, and adoption of the above-stated rules. 

 

3. The State Auditor and Commissioner of Securities has amended ARM 6.2.124, 6.10.101, and 6.10.102; transferred ARM 6.10.104 (6.10.202), 6.10.105 (6.10.203), 6.10.108 (6.10.205), 6.10.110 (6.10.206), 6.10.125 (6.10.302), 6.10.132 (6.10.403), 6.10.134 (6.10.306); 6.10.147 (6.10.208), and 6.10.148 (6.10.209); amended and transferred ARM 6.10.103 (6.10.201), 6.10.111 (6.10.207), 6.10.120 (6.10.301), 6.10.121 (6.10.501), 6.10.126 (6.10.401), 6.10.127 (6.10.402), 6.10.130 (6.10.303), 6.10.131 (6.10.305), 6.10.135 (6.10.502), 6.10.136 (6.10.503), 6.10.138 (6.10.504), 6.10.142 (6.10.508), 6.10.143 (6.10.510), 6.10.145 (6.10.511), and 6.10.149 (6.10.210); and has adopted New Rule I (ARM 6.10.601), New Rule II (ARM 6.10.602), New Rule III (ARM 6.10.604), New Rule IV (ARM 6.10.605), New Rule V (ARM 6.10.607), and New Rule VI (ARM 6.10.608), exactly as proposed.

 

ARM 6.10.140 (6.10.506) and 6.10.141 (6.10.507) are not being amended as proposed, but are being transferred as proposed.

 

            4. No comments were heard at the hearing, and no written comments were received before the comment deadline.

 

/s/ Christina L. Goe                                      /s/ Janice S. VanRiper                               

Christina L. Goe                                            Janice S. VanRiper

Rule Reviewer                                               Deputy State Auditor

 

Certified to the Secretary of State September 15, 2008.