ARM 6.10.503

6.10.136 MINIMUM FINANCIAL REQUIREMENTS AND FINANCIAL REPORTING OF BROKER-DEALERS (1) Each broker-dealer registered or required to be registered under this act shall comply with SEC rule 15c3-1 (17 CFR 240.15c3-1 (1998) ) , 15c3-2 (17 CFR 240.15c3-2 (1998) ) , and 15c3-3 (17 CFR 240.15c-3 (1998) ) . (2) Each broker-dealer registered or required to be registered under this act shall comply with SEC rule 17a-11 (17 CFR 240.17a-11 (1998) ) and shall file with the commissioner upon request copies of notices and reports required under SEC rules 17a-5 (17 CFR 240.17a-5 (1998) ) , 17a-10(17 CFR 240.17a-10 (1998) ) , and 17a-11 (17 CFR 240.17a-11 (1998) ) . (3) The commissioner hereby adopts and incorporates by reference the rules cited in (1) and (2) , which establish net capitalization requirements, customer free credit balance requirements, customer protection reserves, net capital decline reporting requirements, and capitalization reporting requirements. A copy of these rules may be obtained from the Securities Department, P.O. Box 4009, Helena, MT 59604.