Dealer Requirements: Dealers must be registered with the State of Montana and pay a $200 registration fee. A Form S-4 must be completed.

Filing Fees: 1/10th of 1% of the first $750,000 of the aggregate offering price of each security or class of security to be registered. 1/20th of 1% of any amount in excess of $750,000 of the aggregate offering price of each security or class of security to be registered. The fee shall not be less than $150.

Official Recognition: Yes

Relevant Statute:

Forms: A completion of the U-1, U-2, U-2A and U-7 are required for SCOR registration.

Regulatory Contact:

Contact:
Securities Commission

Address:
600 East Boulevard, 5th Floor
Bismarck ND 58505

Phone:
(701) 224-2910

Email:
seccom@pioneer.state.nd.us

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