General Info

The Securities Department is a part of the Montana State Auditor's Office, which is a criminal justice agency that protects consumers throughout Montana in insurance and securities issues. The department works to protect Montana investors by regulating securities transactions and financial markets. The department registers securities, brokerage and investment advisory firms. The Securities Department also regulates the sale of living trusts and multilevel marketing firms. The department investigates fraud related to securities transactions and refers criminal matters to attorneys. It investigates and takes action against pyramid schemes. In addition, the department provides information related to the buying and selling of securities. The Securities Department is located in Helena, Mont.