BEFORE THE STATE AUDITOR AND COMMISSIONER OF SECURITIES of

THE STATE OF MONTANA

 

In the matter of the amendment and transfer of ARM 6.10.502, pertaining to Broker-Dealers and Investment Advisers

) ) ) )

CORRECTED NOTICE OF AMENDMENT AND Transfer

 

TO:  All Concerned Persons

 

1.  On August 14, 2008, the Department of Securities published MAR Notice No. 6-180 pertaining to a public hearing on the proposed amendment and transfer of the above-stated rule at page no.1635 of the 2008 Montana Administrative Register, Issue Number 15.  On September 25, 2008, the department published the notice of amendment and transfer at page no. 2046 of the 2008 Montana Administrative Register, Issue Number 18.

 

2.  This notice is being submitted to correct a typographical error in the first paragraph.  The rule, as amended in corrected form, reads as follows, deleted matter interlined, new matter underlined:

 

            6.10.502  CANADIAN BROKER-DEALERS AND SALESPERSONS  (1)  A Canadian broker-dealer that is resident in Canada, and has no office or other physical presence in the United States, and is not an office of, branch of, or a natural person associated with a broker-dealer otherwise registered in the United States may transact business in this state without registering as a broker-dealer pursuant to 30-20-201 30-10-201, MCA, under the following conditions:

            (a) through (3) remain the same.

 

            AUTH:  30-10-105, 30-10-107, MCA

            IMP:  30-10-201, MCA

 

3.  The replacement page for this corrected notice will be submitted to the Secretary of State on June 30, 2011.

 

 

/s/ Christina L. Goe                                       /s/  Lynne Egan                                 

Christina L. Goe                                            Lynne Egan

Rule Reviewer                                               Deputy Securities Commissioner

 

Certified to the Secretary of State on May 2, 2011.