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Rule Title: SANCTIONS AGAINST FRAUDULENT FOREIGN SECURITIES AND THEIR DEALERS
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Department: STATE AUDITOR
Chapter: SECURITIES DEPARTMENT
Subchapter: Fraudulent and Unethical Practices
 
Latest version of the adopted rule presented in Administrative Rules of Montana (ARM):

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6.10.403    SANCTIONS AGAINST FRAUDULENT FOREIGN SECURITIES AND THEIR DEALERS

(1) The commissioner may by order revoke or suspend any foreign security exemption with respect to any such security or the use of such exemption by any dealer if he finds that the further sale in this state of such security, or sales by a broker-dealer, would work, or tend to work, a fraud or deceit on purchasers or prospective purchasers.

History: 30-10-104, MCA; IMP, 30-10-104, 30-10-107, MCA; NEW, 1994 MAR p. 569, Eff. 3/18/94; TRANS, from ARM 6.10.132, 2008 MAR p. 2046, Eff. 9/26/08.


 

 
MAR Notices Effective From Effective To History Notes
6-180 9/26/2008 Current History: 30-10-104, MCA; IMP, 30-10-104, 30-10-107, MCA; NEW, 1994 MAR p. 569, Eff. 3/18/94; TRANS, from ARM 6.10.132, 2008 MAR p. 2046, Eff. 9/26/08.
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