Montana Administrative Code
28,072 sections across 529 Montana regulatory chapters.
R.4.9-512 CONFIDENTIALITY (REPEALED)
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4.9.512 CONFIDENTIALITY (IS HEREBY REPEALED) Authorizing statute(s): Secs. 80-11-206, 80-11-221, 80-11-222, 80-11-223, MCA Implementing statute(s): Sec. 80-11-222, MCA History: NEW, 1979 MAR p. 861, Eff. 11/16/79; REP, 1982 MAR p. 848, Eff. 4/30/82.
Chapter 4.9Open chapter PDF ↗R.4.9-513 PURPOSE OF RULES (REPEALED)
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4.9.513 PURPOSE OF RULES (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA, NEW, 1982 MAR p. 377, Eff. 2/26/82 History: REP, 1996 MAR p. 545, Eff. 2/23/96.
Chapter 4.9Open chapter PDF ↗R.4.9-514 DEFINITIONS (REPEALED)
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4.9.514 DEFINITIONS (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 377, Eff. 2/26/82; REP, 1996 MAR p. 545, Eff. 2/23/96.
Chapter 4.9Open chapter PDF ↗R.4.9-515 STATEMENT OF ADMINISTRATIVE POLICIES (REPEALED)
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4.9.515 STATEMENT OF ADMINISTRATIVE POLICIES (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 377, Eff. 2/26/82; REP, 1996 MAR p. 545, Eff.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.
Chapter 4.9Open chapter PDF ↗R.4.9-516 APPLICATIONS - GENERAL REQUIREMENTS (REPEALED)
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4.9.516 APPLICATIONS - GENERAL REQUIREMENTS (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 377, Eff. 2/26/82; REP, 1996 MAR p. 545, Eff.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.
Chapter 4.9Open chapter PDF ↗R.4.9-517 APPLICATION CONTENT (REPEALED)
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4.9.517 APPLICATION CONTENT (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 377, Eff. 2/26/82; REP, 1996 MAR p. 545, Eff.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.
Chapter 4.9Open chapter PDF ↗R.4.9-518 APPLICATION SUBMITTAL DEADLINES (REPEALED)
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4.9.518 APPLICATION SUBMITTAL DEADLINES (IS HEREBY REPEALED) Authorizing statute(s): Sec. 80-11-205 MCA Implementing statute(s): Sec. 80-11-222 MCA History: NEW, 1982 MAR p. 377, Eff. 2/26/82; REP, 1996 MAR p. 545, Eff.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.
Chapter 4.9Open chapter PDF ↗R.4.9-519 APPLICATION EVALUATION (REPEALED)
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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.
Chapter 4.9Open chapter PDF ↗R.4.9-520 AWARDING GRANTS -CRITERIA (REPEALED)
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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.
Chapter 4.9Open chapter PDF ↗R.4.9-521 CONDITIONS UNDER WHICH GRANTS MAY BE USED AND OTHER CONDITIONS (REPEALED)
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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.
Chapter 4.9Open chapter PDF ↗R.4.9-522 PAYMENT OF GRANTS (REPEALED)
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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.
Chapter 4.9Open chapter PDF ↗R.4.9-523 PROJECT ADMINISTRATION (REPEALED)
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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.
Chapter 4.9Open chapter PDF ↗R.4.9-524 CONFIDENTIALITY (REPEALED)
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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.
Chapter 4.9Open chapter PDF ↗R.4.9-525 PURPOSE OF RULES (REPEALED)
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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.
Chapter 4.9Open chapter PDF ↗R.4.9-526 DEFINITIONS (REPEALED)
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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.
Chapter 4.9Open chapter PDF ↗R.4.9-527 STATEMENT OF ADMINISTRATIVE POLICIES (REPEALED)
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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.
Chapter 4.9Open chapter PDF ↗R.4.9-528 APPLICATIONS - GENERAL REQUIREMENTS (REPEALED)
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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.
Chapter 4.9Open chapter PDF ↗R.4.9-529 APPLICATION CONTENT (REPEALED)
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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.
Chapter 4.9Open chapter PDF ↗R.4.9-530 APPLICATION SUBMITTAL DEADLINES (REPEALED)
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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.
Chapter 4.9Open chapter PDF ↗R.4.9-531 APPLICATION EVALUATION (REPEALED)
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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.
Chapter 4.9Open chapter PDF ↗R.4.9-532 AWARDING GRANTS - CRITERIA (REPEALED)
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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.
Chapter 4.9Open chapter PDF ↗R.4.9-533 CONDITIONS UNDER WHICH GRANTS MAY BE USED AND OTHER CONDITIONS (REPEALED)
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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.
Chapter 4.9Open chapter PDF ↗R.4.9-534 PAYMENT OF GRANTS (REPEALED)
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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.
Chapter 4.9Open chapter PDF ↗R.4.9-535 PROJECT ADMINISTRATION (REPEALED)
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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.
Chapter 4.9Open chapter PDF ↗R.4.9-536 CONFIDENTIALITY (REPEALED)
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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.
Chapter 4.9Open chapter PDF ↗R.6.1-101 ORGANIZATIONAL RULE
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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…
Chapter 6.1Open chapter PDF ↗R.6.10-101 APPLICABILITY OF CHAPTER
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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…
Chapter 6.10Open chapter PDF ↗R.6.10-102 DEFINITIONS
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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 …
Chapter 6.10Open chapter PDF ↗R.6.10-103 SALES MATERIALS
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Chapter 6.10Open chapter PDF ↗R.6.10-104 PROMOTIONAL SECURITIES--ESCROW
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Chapter 6.10Open chapter PDF ↗6.10-104A DEFINITION OF PROMOTIONAL OR DEVELOPMENTAL STAGE (REPEALED)
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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…
Chapter 6.10Open chapter PDF ↗R.6.10-105 PROMOTIONAL SECURITIES--REQUIRED WAIVERS
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Chapter 6.10Open chapter PDF ↗R.6.10-106 NEW VENTURE FINANCING (IS HEREBY REPEALED)
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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.
Chapter 6.10Open chapter PDF ↗R.6.10-107 FILING OF REGISTRATION STATEMENTS--WHEN COMPLETE (IS HEREBY REPEALED)
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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.
Chapter 6.10Open chapter PDF ↗R.6.10-108 NOTICE OF TERMINATION OF OFFERING--CHANGE OF OFFICERS
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Chapter 6.10Open chapter PDF ↗R.6.10-109 FILING BY BROKERS, DEALERS, AND SALESMEN (REPEALED)
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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.
Chapter 6.10Open chapter PDF ↗R.6.10-110 STOCK SUBSCRIPTION AGREEMENT--NO DEFAULT OR PENALTY PROVISION
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Chapter 6.10Open chapter PDF ↗R.6.10-111 WARRANTS AND OPTIONS
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Chapter 6.10Open chapter PDF ↗R.6.10-112 BLOTTERS OR RECORDS OF ORIGINAL ENTRY REQUIRED (REPEALED)
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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.
Chapter 6.10Open chapter PDF ↗R.6.10-113 LEDGERS REQUIRED (REPEALED)
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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.
Chapter 6.10Open chapter PDF ↗R.6.10-114 MEMORANDA OF BROKERAGE ORDERS AND INSTRUCTIONS REQUIRED (REPEALED)
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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.
Chapter 6.10Open chapter PDF ↗R.6.10-115 MEMORANDA OF PURCHASE AND SALES ORDERS REQUIRED (REPEALED)
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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.
Chapter 6.10Open chapter PDF ↗R.6.10-116 COPIES OF CONFIRMATIONS REQUIRED (REPEALED)
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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.
Chapter 6.10Open chapter PDF ↗R.6.10-117 CASH AND MARGIN ACCOUNT RECORDS REQUIRED (REPEALED)
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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.
Chapter 6.10Open chapter PDF ↗R.6.10-118 MONTHLY TRIAL BALANCES REQUIRED (REPEALED)
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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.
Chapter 6.10Open chapter PDF ↗R.6.10-119 QUARTERLY AND ANNUAL STATEMENTS REQUIRED (REPEALED)
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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.
Chapter 6.10Open chapter PDF ↗R.6.10-120 MONTANA LIMITED OFFERING EXEMPTION
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Chapter 6.10Open chapter PDF ↗R.6.10-121 REGISTRATION AND EXAMINATION - SECURITIES SALESPERSON, INVESTMENT ADVISER REPRESENTATIVES, BROKER-DEALERS, AND INVESTMENT ADVISERS
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Chapter 6.10Open chapter PDF ↗R.6.10-122 BROKER-DEALER BOOKS AND RECORDS (REPEALED)
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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, …
Chapter 6.10Open chapter PDF ↗R.6.10-123 INVESTMENT ADVISER BOOKS AND RECORDS (REPEALED)
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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.
Chapter 6.10Open chapter PDF ↗