BD- Montana Broker-Dealer Agent Resident Affidavit Form

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The MT Broker-Dealer Agent Resident Affidavit Form should be completed by Montana residents seeking a $50 reimbursement from the $100 non-resident registration fee automatically processed through the FINRA CRD system.  The affidavit must be received by the Montana State Auditor, Commissioner of Securities and Insurance office within 30 after the submission of the agent’s Form U-4 to the FINRA CRD system before the refund can be processed.  Members also downloaded Montana Investment Adviser Representative Resident Affidavit Form.

Version/Update: V.U/05/2020

Total Page Count/Format: 1/.pdf

Source/Author(s): Montana Commissioner of Securities & Insurance