Montana’s State Auditor also serves as the Securities Commissioner. The Securities Department within the State Auditor’s Office protects Montana investors by regulating securities transactions. The department registers securities, brokerage firms, investment advisory firms and individuals working for those firms.

Keeping faith and confidence in the capital markets is critical. Sixty-five percent of Montanans are invested in the market in some way and have trust in the individual who works with them to invest their hard earned money. Educating consumers about what to look for when choosing an individual and their firm to invest those dollars is an important step in preventing financial fraud.