Montana Administrative Code

4.9.515 STATEMENT OF ADMINISTRATIVE POLICIES (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 377, Eff. 2/26/82; REP, 1996 MAR p. 545, Eff. 2/23/96.

4.9.516 APPLICATIONS - GENERAL REQUIREMENTS (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 377, Eff. 2/26/82; REP, 1996 MAR p. 545, Eff. 2/23/96.

4.9.517 APPLICATION CONTENT (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 377, Eff. 2/26/82; REP, 1996 MAR p. 545, Eff. 2/23/96.

4.9.518 APPLICATION SUBMITTAL DEADLINES (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 377, Eff. 2/26/82; REP, 1996 MAR p. 545, Eff. 2/23/96.

4.9.519 APPLICATION EVALUATION (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 377, Eff. 2/26/82; REP, 1996 MAR p. 545, Eff. 2/23/96.

4.9.520 AWARDING GRANTS -CRITERIA (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 377, Eff. 2/26/82; REP, 1996 MAR p. 545, Eff. 2/23/96.

4.9.521 CONDITIONS UNDER WHICH GRANTS MAY BE USED AND OTHER CONDITIONS (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 377, Eff. 2/26/82; REP, 1996 MAR p. 545, Eff. 2/23/96.

4.9.522 PAYMENT OF GRANTS (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 377, Eff. 2/26/82; REP, 1996 MAR p. 545, Eff. 2/23/96.

4.9.523 PROJECT ADMINISTRATION (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 377, Eff. 2/26/82; REP, 1996 MAR p. 545, Eff. 2/23/96.

4.9.524 CONFIDENTIALITY (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 377, Eff. 2/26/82; REP, 1996 MAR p. 545, Eff. 2/23/96.

4.9.525 PURPOSE OF RULES (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA, NEW, 1982 MAR p. 1846, Eff. 10/15/82 History: REP, 1996 MAR p. 545, Eff. 2/23/96.

4.9.526 DEFINITIONS (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 1846, Eff. 10/15/82; REP, 1996 MAR p. 545, Eff. 2/23/96.

4.9.527 STATEMENT OF ADMINISTRATIVE POLICIES (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 1846, Eff. 10/15/82; REP, 1996 MAR p. 545, Eff. 2/23/96.

4.9.528 APPLICATIONS - GENERAL REQUIREMENTS (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 1846, Eff. 10/15/82; REP, 1996 MAR p. 545, Eff. 2/23/96.

4.9.529 APPLICATION CONTENT (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 1846, Eff. 10/15/82; REP, 1996 MAR p. 545, Eff. 2/23/96.

4.9.530 APPLICATION SUBMITTAL DEADLINES (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 1846, Eff. 10/15/82; REP, 1996 MAR p. 545, Eff. 2/23/96.

4.9.531 APPLICATION EVALUATION (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 1846, Eff. 10/15/82; REP, 1996 MAR p. 545, Eff. 2/23/96.

4.9.532 AWARDING GRANTS - CRITERIA (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 1846, Eff. 10/15/82; REP, 1996 MAR p. 545, Eff. 2/23/96.

4.9.533 CONDITIONS UNDER WHICH GRANTS MAY BE USED AND OTHER CONDITIONS (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 1846, Eff. 10/15/82; REP, 1996 MAR p. 545, Eff. 2/23/96.

4.9.534 PAYMENT OF GRANTS (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 1846, Eff. 10/15/82; REP, 1996 MAR p. 545, Eff. 2/23/96.

4.9.535 PROJECT ADMINISTRATION (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 1846, Eff. 10/15/82; REP, 1996 MAR p. 545, Eff. 2/23/96.

4.9.536 CONFIDENTIALITY (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 1846, Eff. 10/15/82; REP, 1996 MAR p. 545, Eff. 2/23/96.

6.1.101 ORGANIZATIONAL RULE The following is a description of the organization of the Office of the State Auditor, ex officio Commissioner of Insurance, ex officio Commissioner of Securities. The position of the State Auditor was created by Article VII, section 1, of the 1889 Con…

6.10.101 APPLICABILITY OF CHAPTER This chapter applies to the securities and transactions involving securities, subject to the Securities Act of Montana, Title 30, chapter 10, parts 1 through 3, MCA; and to restitution assistance provided subject to the Securities Restitution Ass…

6.10.102 DEFINITIONS As used in this subchapter, unless the context indicates otherwise: The definitions contained in 30-10-103, MCA, apply. "Affiliate" means a person who, directly or indirectly through one or more intermediaries, controls or is controlled by or is under common …

6.10.104A DEFINITION OF PROMOTIONAL OR DEVELOPMENTAL STAGE (IS HEREBY REPEALED) Authorizing statute(s): Sec. 30-10-107, MCA Implementing statute(s): Sec. 30-10-206, MCA History: NEW, 1987 MAR p. 774, Eff. 6/12/87; AMD, 1988 MAR p. 1803, Eff. 8/12/88; REP, 1996 MAR p. 1133, Eff. 4…

6.10.106 NEW VENTURE FINANCING (IS HEREBY REPEALED) Authorizing statute(s): Sec. 30-10-107, MCA Implementing statute(s): Sec. 33-10-107, MCA History: EMERG, NEW, Eff. 7/5/75; AMD, 1988 MAR p. 1803, Eff. 8/12/88.

6.10.107 FILING OF REGISTRATION STATEMENTS--WHEN COMPLETE (IS HEREBY REPEALED) Authorizing statute(s): Sec. 30-10-107, MCA Implementing statute(s): Sec. 33-10-107, MCA History: EMERG, NEW, Eff. 7/5/75; AMD, 1988 MAR p. 1803, Eff. 8/12/88.

6.10.109 FILING BY BROKERS, DEALERS, AND SALESMEN (IS HEREBY REPEALED) Authorizing statute(s): Sec. 30-10-107, MCA Implementing statute(s): Sec. 30-10-107, MCA History: EMERG, NEW, Eff. 7/5/75; REP, 1988 MAR p. 1803, Eff. 8/12/88.

6.10.112 BLOTTERS OR RECORDS OF ORIGINAL ENTRY REQUIRED (IS HEREBY REPEALED) Authorizing statute(s): Sec. 30-10-107, MCA Implementing statute(s): Sec. 30-10-107, MCA History: EMERG, NEW, Eff. 7/5/75; REP, 1988 MAR p. 1803, Eff. 8/12/88.

6.10.113 LEDGERS REQUIRED (IS HEREBY REPEALED) Authorizing statute(s): Sec. 30-10-107, MCA Implementing statute(s): Sec. 30-10-107, MCA History: EMERG, NEW, Eff. 7/5/75; REP, 1988 MAR p. 1803, Eff. 8/12/88.

6.10.114 MEMORANDA OF BROKERAGE ORDERS AND INSTRUCTIONS REQUIRED (IS HEREBY REPEALED) Authorizing statute(s): Sec. 30-10-107, MCA Implementing statute(s): Sec 30-10-107, MCA History: EMERG, NEW, Eff. 7/5/75; REP, 1988 MAR p. 1803, Eff. 8/12/88.

6.10.115 MEMORANDA OF PURCHASE AND SALES ORDERS REQUIRED (IS HEREBY REPEALED) Authorizing statute(s): Sec. 30-10-107, MCA Implementing statute(s): Sec. 30-10-107, MCA History: EMERG, NEW, Eff. 7/5/75; REP, 1988 MAR p. 1803, Eff. 8/12/88.

6.10.116 COPIES OF CONFIRMATIONS REQUIRED (IS HEREBY REPEALED) Authorizing statute(s): Sec. 30-10-107, MCA Implementing statute(s): Sec. 30-10-107, MCA History: EMERG, NEW, Eff. 7/5/75; REP, 1988 MAR p. 1803, Eff. 8/12/88.

6.10.117 CASH AND MARGIN ACCOUNT RECORDS REQUIRED (IS HEREBY REPEALED) Authorizing statute(s): Sec. 30-10-107, MCA Implementing statute(s): Sec. 30-10-107, MCA History: EMERG, NEW, Eff. 7/5/75; REP, 1988 MAR p. 1803, Eff. 8/12/88.

6.10.118 MONTHLY TRIAL BALANCES REQUIRED (IS HEREBY REPEALED) Authorizing statute(s): Sec. 30-10-107, MCA Implementing statute(s): Sec. 30-10-107, MCA History: EMERG, NEW, Eff. 7/5/75; REP, 1988 MAR p. 1803, Eff. 8/12/88.

6.10.119 QUARTERLY AND ANNUAL STATEMENTS REQUIRED (IS HEREBY REPEALED) Authorizing statute(s): Sec. 30-10-107, MCA Implementing statute(s): Sec. 30-10-107, MCA History: EMERG, NEW, Eff. 7/5/75; REP, 1988 MAR p. 1803, Eff. 8/12/88.

6.10.122 BROKER-DEALER BOOKS AND RECORDS (IS HEREBY REPEALED) Authorizing statute(s): 30-10-107, MCA Implementing statute(s): 30-10-201, MCA History: NEW, 1984 MAR p. 19, Eff. 1/13/84; AMD, 1988 MAR p. 1889, Eff. 8/12/88; AMD, 1996 MAR p. 1136, Eff. 4/26/96; REP, 1999 MAR p. 56, …

6.10.123 INVESTMENT ADVISER BOOKS AND RECORDS (IS HEREBY REPEALED) Authorizing statute(s): 30-10-107, MCA Implementing statute(s): 30-10-201, MCA History: NEW, 1984 MAR p. 19, Eff. 1/13/84; AMD, 1988 MAR p. 1803, Eff. 8/12/88; REP, 1999 MAR p. 56, Eff. 1/15/99.