Montana Code Annotated
Title 30. Trade and Commerce
Chapter 10. Securities Regulation

30-10-201. Registration and notice filing requirements of broker-dealers, salespersons, investment advisers, and investment adviser representatives - 30-10-201. Registration and notice filing requirements of broker-dealers, salespersons, investment...

30-10-202. Registration of securities - 30-10-202. Registration of securities. It is unlawful for any person...

30-10-203. Registration by notification - 30-10-203. Registration by notification. (1) The following securities may be...

30-10-204. Registration by coordination - 30-10-204. Registration by coordination. (1) Any security for which a...

30-10-205. Registration by qualification - 30-10-205. Registration by qualification. (1) Any security may be registered...

30-10-206. General provisions regarding registration of securities - 30-10-206. General provisions regarding registration of securities. (1) A registration...

30-10-207. Denial, suspension, and revocation of registration of securities - 30-10-207. Denial, suspension, and revocation of registration of securities. (1)...

30-10-208. Consent to service of process -- manner of service - 30-10-208. Consent to service of process -- manner of service....

30-10-209. Fees - 30-10-209. Fees. The following fees must be paid in advance...

30-10-210. Examination costs - 30-10-210. Examination costs. (1) An issuer, broker-dealer, or investment adviser...

30-10-211. Federal covered securities - 30-10-211. Federal covered securities. (1) An issuer is required to...

30-10-212. through 30-10-215 reserved - 30-10-212 through 30-10-215 reserved.

30-10-216. Repealed - 30-10-216. Repealed. Sec. 5, Ch. 318, L. 2015. History: En....

Part 3. Offenses, Penalties, and Immunities

30-10-301. Fraudulent and other prohibited practices - 30-10-301. Fraudulent and other prohibited practices. (1) It is unlawful...

30-10-302. Misleading filings - 30-10-302. Misleading filings. It is unlawful for any person to...

30-10-303. Unlawful representation concerning registration or exemption - 30-10-303. Unlawful representation concerning registration or exemption. (1) The fact...

30-10-304. Investigations and subpoenas - 30-10-304. Investigations and subpoenas. (1) The commissioner may: (a) make...

30-10-305. Injunctions and other remedies -- limitations on actions - 30-10-305. (Temporary) Injunctions and other remedies -- limitations on actions....

30-10-306. Criminal liabilities - 30-10-306. Criminal liabilities. (1) A person who willfully violates any...

30-10-307. Civil liabilities -- limitations on actions - 30-10-307. Civil liabilities -- limitations on actions. (1) Any person...

30-10-308. Judicial review of orders - 30-10-308. Judicial review of orders. Any person aggrieved by a...

30-10-309. Securities restitution - 30-10-309. Securities restitution. (1) The commissioner may, after conducting a...

30-10-310. Reporting requirements - 30-10-310. Reporting requirements. (1) A broker-dealer, investment adviser, investment adviser...

30-10-311. through 30-10-314 reserved - 30-10-311 through 30-10-314 reserved.

30-10-315. Requirements for securities fraud actions -- definition - 30-10-315. Requirements for securities fraud actions -- definition. (1) In...

30-10-316. Sanctions - 30-10-316. Sanctions. (1) In any private action arising under this...

30-10-317. Defendant's right to written interrogatories - 30-10-317. Defendant's right to written interrogatories. In any private action...

30-10-318. Limitation on damages - 30-10-318. Limitation on damages. (1) The provisions of this section...

30-10-319. Applicability of safe harbor for forward-looking statements - 30-10-319. Applicability of safe harbor for forward-looking statements. (1) For...

30-10-320. Prohibition of referral fees - 30-10-320. Prohibition of referral fees. A broker, dealer, or person...

30-10-321. Prosecution of persons aiding violations - 30-10-321. Prosecution of persons aiding violations. For purposes of any...

30-10-322. Loss causation - 30-10-322. Loss causation. In any private action arising under this...

30-10-323. Construction - 30-10-323. Construction. Sections 30-10-315 through 30-10-322 may not be considered...

30-10-324. Definitions - 30-10-324. Definitions. As used in 30-10-301, 30-10-324, 30-10-325, and 30-10-327,...

30-10-325. Operating pyramid promotional scheme unlawful - 30-10-325. Operating pyramid promotional scheme unlawful. (1) A person may...

30-10-326. Repealed - 30-10-326. Repealed. Sec. 6, Ch. 286, L. 2013. History: En....

30-10-327. Multilevel marketing company -- notice of activity -- consent to service - 30-10-327. Multilevel marketing company -- notice of activity -- consent...

30-10-328. through 30-10-339 reserved - 30-10-328 through 30-10-339 reserved.

30-10-340. Governmental disclosure -- immunity - 30-10-340. Governmental disclosure -- immunity. (1) If a qualified individual,...

30-10-341. Third-party disclosure -- immunity - 30-10-341. Third-party disclosure -- immunity. (1) If a qualified individual,...

30-10-342. Delaying disbursements -- immunity - 30-10-342. Delaying disbursements -- immunity. (1) A broker-dealer or investment...

Part 4. Fiduciary Security Transfers (Repealed)

30-10-401. Repealed - 30-10-401. Repealed. Sec. 88, Ch. 536, L. 1997. History: En....

30-10-402. Repealed - 30-10-402. Repealed. Sec. 88, Ch. 536, L. 1997. History: En....

30-10-403. Repealed - 30-10-403. Repealed. Sec. 88, Ch. 536, L. 1997. History: En....

30-10-404. Repealed - 30-10-404. Repealed. Sec. 88, Ch. 536, L. 1997. History: En....

30-10-405. Repealed - 30-10-405. Repealed. Sec. 88, Ch. 536, L. 1997. History: En....

30-10-406. Repealed - 30-10-406. Repealed. Sec. 88, Ch. 536, L. 1997. History: En....

30-10-407. Repealed - 30-10-407. Repealed. Sec. 88, Ch. 536, L. 1997. History: En....

30-10-408. Repealed - 30-10-408. Repealed. Sec. 88, Ch. 536, L. 1997. History: En....

30-10-409. Repealed - 30-10-409. Repealed. Sec. 88, Ch. 536, L. 1997. History: En....

30-10-410. Repealed - 30-10-410. Repealed. Sec. 88, Ch. 536, L. 1997. History: En....

30-10-411. Repealed - 30-10-411. Repealed. Sec. 88, Ch. 536, L. 1997. History: En....

Part 9. Montana Living Trust Act

30-10-901. Short title - 30-10-901. Short title. This part may be cited as the...

30-10-902. Purpose - 30-10-902. Purpose. The purpose of this part is to regulate...

30-10-903. Definitions - 30-10-903. Definitions. As used in this part, unless the context...

30-10-904. Licensure -- exemption - 30-10-904. Licensure -- exemption. (1) A person may not offer...

30-10-905. Administration - 30-10-905. Administration. (1) The administration of the provisions of this...

30-10-906. Scope - 30-10-906. Scope. This part applies to any person who sells...

30-10-907. Fines and fees -- deposit to general fund - 30-10-907. Fines and fees -- deposit to general fund. All...

30-10-908. Consent to service of process -- manner of service - 30-10-908. Consent to service of process -- manner of service....

30-10-909. Fraudulent and other prohibited practices - 30-10-909. Fraudulent and other prohibited practices. It is unlawful for...

30-10-910. Misleading filings - 30-10-910. Misleading filings. It is unlawful for a person to...

30-10-911. Unlawful representation concerning approval of application - 30-10-911. Unlawful representation concerning approval of application. The fact that...

30-10-912. Investigations and subpoenas - 30-10-912. Investigations and subpoenas. (1) The state auditor may: (a)...

30-10-913. Injunctions and other remedies -- limitations on actions -- criminal sanctions - 30-10-913. Injunctions and other remedies -- limitations on actions --...

30-10-914. Judicial review of orders - 30-10-914. Judicial review of orders. A person aggrieved by a...

30-10-915. Civil liabilities -- limitations on actions - 30-10-915. Civil liabilities -- limitations on actions. (1) A person...

Part 10. Securities Restitution Assistance Fund

30-10-1001. Short title - 30-10-1001. (Temporary) Short title. This part may be cited as...

30-10-1002. Purpose - 30-10-1002. (Temporary) Purpose. The purpose of this part is to...

30-10-1003. Definitions - 30-10-1003. (Temporary) Definitions. As used in this part, the following...

30-10-1004. Creation of securities restitution assistance fund - 30-10-1004. (Temporary) Creation of securities restitution assistance fund. (1) There...

30-10-1005. Eligibility - 30-10-1005. (Temporary) Eligibility. (1) The following victims are eligible for...

30-10-1006. Application for restitution assistance -- maximum amount of restitution assistance award - 30-10-1006. (Temporary) Application for restitution assistance -- maximum amount of...

30-10-1007. False application -- penalties -- statute of limitations - 30-10-1007. (Temporary) False application -- penalties -- statute of limitations....

30-10-1008. Rulemaking authority - 30-10-1008. (Temporary) Rulemaking authority. The commissioner may adopt rules regarding...

Part 11. Whistleblower Award and Protection Act

30-10-1101. Short title - 30-10-1101. Short title. This part may be cited as the...

30-10-1102. Purpose - 30-10-1102. Purpose. The Whistleblower Award and Protection Act provides monetary...

30-10-1103. Definitions - 30-10-1103. Definitions. As used in this part, unless the context...

30-10-1104. Authority to make whistleblower award - 30-10-1104. Authority to make whistleblower award. Subject to the provisions...

30-10-1105. Anonymous whistleblower complaints - 30-10-1105. Anonymous whistleblower complaints. (1) An individual may make an...

30-10-1106. Amount of whistleblower award - 30-10-1106. Amount of whistleblower award. If the commissioner determines to...

30-10-1107. Discretion to determine amount of whistleblower award - 30-10-1107. Discretion to determine amount of whistleblower award. The determination...

30-10-1108. Source of payment of whistleblower award - 30-10-1108. Source of payment of whistleblower award. (1) The commissioner...

30-10-1109. Factors used to determine amount of whistleblower award - 30-10-1109. Factors used to determine amount of whistleblower award. In...

30-10-1110. Disqualification from award - 30-10-1110. Disqualification from award. The commissioner may not provide an...

30-10-1111. Protection of whistleblowers and internal reporters - 30-10-1111. Protection of whistleblowers and internal reporters. (1) An employer...

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Montana Code Annotated Title 30. Trade and Commerce Chapter 10. Securities Regulation

Montana Code Annotated
Title 30. Trade and Commerce
Chapter 10. Securities Regulation