(1) Unless otherwise provided by order of the commissioner, each registered broker-dealer shall make, maintain and preserve books and records in compliance with the United States securities and exchange commission rules 17a-3 (17 CFR 240.17a-3 (1998) ) , 17a-4 (17 CFR 240.17a-4 (1998) ) , and 15c2-11 (17 CFR 240.15c2-11 (1998) ) which are adopted and incorporated herein by this reference and establish recordkeeping requirements related to the conduct of the business as a securities broker-dealer. Copies of these rules may be obtained from the Commissioner of Securities, P.O. Box 4009, Helena, MT 59604.

(2) To the extent that the securities and exchange commission promulgates changes to the above-referenced rules, dealers in compliance with such rules as amended shall not be subject to enforcement action by the commissioner for violation of this rule to the extent that the violation results solely from the dealer's compliance with the amended rule.