Dealer Requirements: Broker-Dealers must be registered with the State of Montana by filling out a U-4 Form.

Filing Fees: $200 for the first $100,000 of initial issue to be sold in the state plus 1/10 of 1% for any amount over $100,000. The fee shall not exceed $1,000.

Official Recognition: Yes

Relevant Statute:

Forms: To register through SCOR, Forms U-1, U-2, U-2A, and U-7 must be completed.

Instructions: The Securities Department advises that before applying for SCOR registration, prospective issuers should contact the Division for a planning meeting to facilitate the process.

Regulatory Contact:

Contact:
Montana Securities Department

Address:
Mitchell Building, P.O. Box 4009
Helena MT 59604-4009

Phone:
(406) 444-2040

Fax:
(406) 444-5558

Email:
blombardi@mt.gov

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