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Rule Chapter: 6.10
Chapter Title: SECURITIES DEPARTMENT
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6.10 : SECURITIES DEPARTMENT

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Rule No. Rule Title Latest
Version		 Effective
Date
Subchapter 1
Securities Regulation
6.10.101 APPLICABILITY OF CHAPTER access file 10/24/2020
6.10.102 DEFINITIONS access file 10/24/2020
6.10.103 SALES MATERIALS TRANS 9/26/2008
6.10.104 PROMOTIONAL SECURITIES--ESCROW TRANS 9/26/2008
6.10.104A DEFINITION OF PROMOTIONAL OR DEVELOPMENTAL STAGE (IS HEREBY REPEALED) REP 4/26/1996
6.10.105 PROMOTIONAL SECURITIES--REQUIRED WAIVERS TRANS 9/26/2008
6.10.106 NEW VENTURE FINANCING (IS HEREBY REPEALED) REP 8/12/1988
6.10.107 FILING OF REGISTRATION STATEMENTS--WHEN COMPLETE (IS HEREBY REPEALED) REP 8/12/1988
6.10.108 NOTICE OF TERMINATION OF OFFERING--CHANGE OF OFFICERS TRANS 9/26/2008
6.10.109 FILING BY BROKERS, DEALERS, AND SALESMEN REP 8/12/1988
6.10.110 STOCK SUBSCRIPTION AGREEMENT--NO DEFAULT OR PENALTY PROVISION TRANS 9/26/2008
6.10.111 WARRANTS AND OPTIONS TRANS 9/26/2008
6.10.112 BLOTTERS OR RECORDS OF ORIGINAL ENTRY REQUIRED REP 8/12/1988
6.10.113 LEDGERS REQUIRED REP 8/12/1988
6.10.114 MEMORANDA OF BROKERAGE ORDERS AND INSTRUCTIONS REQUIRED REP 8/12/1988
6.10.115 MEMORANDA OF PURCHASE AND SALES ORDERS REQUIRED REP 8/12/1988
6.10.116 COPIES OF CONFIRMATIONS REQUIRED REP 8/12/1988
6.10.117 CASH AND MARGIN ACCOUNT RECORDS REQUIRED REP 8/12/1988
6.10.118 MONTHLY TRIAL BALANCES REQUIRED REP 8/12/1988
6.10.119 QUARTERLY AND ANNUAL STATEMENTS REQUIRED REP 8/12/1988
6.10.120 MONTANA LIMITED OFFERING EXEMPTION TRANS 9/26/2008
6.10.121 REGISTRATION AND EXAMINATION - SECURITIES SALESPERSON, INVESTMENT ADVISER REPRESENTATIVES, BROKER-DEALERS, AND INVESTMENT ADVISERS TRANS 9/26/2008
6.10.122 BROKER-DEALER BOOKS AND RECORDS REP 1/15/1999
6.10.123 INVESTMENT ADVISER BOOKS AND RECORDS REP 1/15/1999
6.10.124 MONTANA INVESTMENT CAPITAL EXEMPTION REP 4/26/1996
6.10.125 FOREIGN SAVINGS AND LOAN ASSOCIATION EXEMPTION TRANS 9/26/2008
6.10.126 FRAUDULENT AND UNETHICAL PRACTICES PROHIBITED BY BROKER-DEALERS AND SALESMEN TRANS 9/26/2008
6.10.127 FRAUDULENT, UNETHICAL AND DECEPTIVE PRACTICES PROHIBITED TRANS 9/26/2008
6.10.128 PURPOSE AND SCOPE REP 4/26/1996
6.10.129 AUTHORITY REP 4/26/1996
6.10.130 SECOND TIER LIMITED OFFERING EXEMPTION TRANS 9/26/2008
6.10.131 FOREIGN SECURITY EXEMPTION TRANS 9/26/2008
6.10.132 SANCTIONS AGAINST FRAUDULENT FOREIGN SECURITIES AND THEIR DEALERS TRANS 9/26/2008
6.10.133 INTERNET access file 7/4/1996
6.10.134 TRANSACTIONAL EXEMPTIONS FOR COOPERATIVE ARSOCIATIONS TRANS 9/26/2008
6.10.135 CANADIAN BROKER-DEALERS AND SALESPERSONS TRANS 9/26/2008
6.10.136 MINIMUM FINANCIAL REQUIREMENTS AND FINANCIAL REPORTING OF BROKER-DEALERS TRANS 9/26/2008
Rule 6.10.137 reserved
6.10.138 BROKER-DEALER BOOKS AND RECORDS TRANS 9/26/2008
Rule 6.10.139 reserved
6.10.140 MINIMUM FINANCIAL REQUIREMENTS FOR INVESTMENT ADVISERS TRANS 9/26/2008
6.10.141 BONDING REQUIREMENTS FOR CERTAIN INVESTMENT ADVISERS TRANS 9/26/2008
6.10.142 CUSTODY OF CLIENT FUNDS OR SECURITIES BY INVESTMENT ADVISERS TRANS 9/26/2008
6.10.143 INVESTMENT ADVISER BOOKS AND RECORDS TRANS 9/26/2008
Rule 6.10.144 reserved
6.10.145 NOTICE FILING REQUIREMENTS FOR FEDERAL COVERED ADVISERS TRANS 9/26/2008
Rule 6.10.146 reserved
6.10.147 NOTICE FILINGS FOR OFFERINGS OF INVESTMENT COMPANY SECURITIES TRANS 9/26/2008
6.10.148 NOTICE FILINGS FOR OFFERINGS OF FEDERAL COVERED SECURITIES UNDER 18(b) (3) or (4) of the securities act of 1933 TRANS 9/26/2008
6.10.149 NOTICE FILING PROCEDURES FOR RULE 506 OFFERINGS TRANS 9/26/2008
6.10.150 INCORPORATION BY REFERENCE CONSENTS TO SERVICE OF PROCESS PREVIOUSLY FILED access file 1/15/1999
Subchapter 2
Offerings
6.10.201 SALES MATERIALS access file 9/26/2008
6.10.202 PROMOTIONAL SECURITIES--ESCROW access file 9/26/2008
6.10.203 PROMOTIONAL SECURITIES--REQUIRED WAIVERS access file 9/26/2008
6.10.205 NOTICE OF TERMINATION OF OFFERING--CHANGE OF OFFICERS access file 9/26/2008
6.10.206 STOCK SUBSCRIPTION AGREEMENT--NO DEFAULT OR PENALTY PROVISION access file 9/26/2008
6.10.207 WARRANTS AND OPTIONS access file 9/26/2008
6.10.208 NOTICE FILINGS FOR OFFERINGS OF INVESTMENT COMPANY SECURITIES access file 10/24/2020
6.10.209 NOTICE FILINGS FOR OFFERINGS OF FEDERAL COVERED SECURITIES UNDER 18(b)(3) OR (4) OF THE SECURITIES ACT OF 1933 access file 10/24/2020
6.10.210 NOTICE FILING PROCEDURES FOR RULE 506 OFFERINGS access file 10/24/2020
6.10.211 NOTICE FILING RULE FOR REGULATION A-TIER 2 OFFERINGS access file 10/24/2020
Subchapter 3
Exemptions
6.10.301 MONTANA LIMITED OFFERING EXEMPTION access file 9/26/2008
6.10.302 FOREIGN SAVINGS AND LOAN ASSOCIATION EXEMPTION access file 10/24/2020
6.10.303 SECOND TIER LIMITED OFFERING EXEMPTION access file 9/24/2022
6.10.305 FOREIGN SECURITY EXEMPTION access file 10/24/2020
6.10.306 TRANSACTIONAL EXEMPTIONS FOR COOPERATIVE ASSOCIATIONS access file 10/24/2020
6.10.307 FILINGS REQUIREMENT FOR TRANSACTIONAL EXEMPTION PURSUANT TO 30-10-105(15), MCA access file 10/24/2020
6.10.308 MERGER AND ACQUISITION BROKER EXEMPTION access file 10/24/2020
Subchapter 4
Fraudulent and Unethical Practices
6.10.401 FRAUDULENT AND UNETHICAL PRACTICES PROHIBITED BY BROKER-DEALERS AND SALESMEN access file 10/24/2020
6.10.402 FRAUDULENT AND UNETHICAL PRACTICES PROHIBITED BY INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED ADVISERS access file 10/24/2020
6.10.403 SANCTIONS AGAINST FRAUDULENT FOREIGN SECURITIES AND THEIR DEALERS access file 9/26/2008
Subchapter 5
Broker-Dealers and Investment Advisers
6.10.501 REGISTRATION AND EXAMINATION - SECURITIES SALESPERSON, INVESTMENT ADVISER REPRESENTATIVES, BROKER-DEALERS, AND INVESTMENT ADVISERS access file 10/24/2020
6.10.502 CANADIAN BROKER-DEALERS AND SALESPERSONS access file 9/26/2008
6.10.503 MINIMUM FINANCIAL REQUIREMENTS AND FINANCIAL REPORTING OF BROKER-DEALERS access file 10/24/2020
6.10.504 BROKER-DEALER BOOKS AND RECORDS access file 10/24/2020
6.10.506 MINIMUM FINANCIAL REQUIREMENTS FOR INVESTMENT ADVISERS access file 10/24/2020
6.10.507 BONDING REQUIREMENTS FOR CERTAIN INVESTMENT ADVISERS access file 10/24/2020
6.10.508 CUSTODY OF CLIENT FUNDS OR SECURITIES BY INVESTMENT ADVISERS access file 9/26/2008
6.10.510 INVESTMENT ADVISER BOOKS AND RECORDS access file 10/24/2020
6.10.511 NOTICE FILING REQUIREMENTS FOR FEDERAL COVERED ADVISERS access file 9/26/2008
Subchapter 6
Senior Specific Certifications and Designations
6.10.601 SENIOR SPECIFIC CERTIFICATIONS AND DESIGNATIONS GENERALLY UNLAWFUL access file 9/26/2008
6.10.602 REBUTTABLE PRESUMPTION REGARDING CERTAIN DISQUALIFICATIONS access file 9/26/2008
Rule 6.10.603 reserved
6.10.604 FACTORS CONSIDERED TO DETERMINE UNLAWFUL CERTIFICATIONS OR DESIGNATIONS access file 9/26/2008
6.10.605 CERTIFICATIONS OR DESIGNATIONS NOT CONSIDERED UNLAWFUL access file 9/26/2008
Rule 6.10.606 reserved
6.10.607 RULES NOT LIMITING AUTHORITY access file 9/26/2008
6.10.608 FILINGS REQUIREMENT FOR TRANSACTIONAL EXEMPTION PURSUANT TO 30-10-105(15), MCA TRANS 10/24/2020
Subchapter 7
Securities Restitution Fund
6.10.701 SECURITIES RESTITUTION FUND access file 6/8/2012
6.10.702 DEFINITIONS access file 6/8/2012
6.10.703 METHOD FOR CALCULATING PERCENTAGES AS THE FUND APPROACHES ZERO access file 4/23/2016
Rule 6.10.704 reserved
6.10.705 COMPOSITION OF THE COMMITTEE access file 10/18/2013
6.10.706 COMMITTEE PROCEDURES access file 6/8/2012
6.10.707 APPLICATION REVIEW REQUIREMENTS access file 6/8/2012
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