02-032 C.M.R. ch. 504, § 1 - Definitions
For the purposes of this chapter, the following definitions shall apply:
1.
Act.
"Act" means the Maine Uniform Securities Act,
32 M.R.S.A.
§§16101 to
16702.
2.
Administrator.
"Administrator" has the same meaning as in
32
M.R.S.A.§16102(1).
3.
Agent. "Agent" has the same
meaning as in
32 M.R.S.A.
§16102(2).
4.
Branch office."Branch office"
has the same meaning as in
32 M.R.S.A.
§16410(1)(F).
5.
Broker-dealer.
"Broker-dealer" has the same meaning as in
32 M.R.S.A.
§16102(4).
6.
CRD. "CRD" means the
Internet-based Central Registration Depository.
7.
Form BD. "Form BD" means the
Uniform Application for Broker-Dealer Registration, a uniform form that is
hereby adopted for use in the State of Maine.
8.
Form BDW. "Form BDW" means
the Uniform Request for Broker-Dealer Withdrawal, a uniform form that is hereby
adopted for use in the State of Maine.
9.
Form BR. "Form BR" means the
Uniform Branch Office Registration Form, a uniform form that is hereby adopted
for use in the State of Maine.
10.
Form U-4. "Form U-4" means the Uniform Application for Securities
Industry Registration or Transfer, a uniform form that is hereby adopted for
use in the State of Maine.
11.
Form U-5. "Form U-5" means the Uniform Termination Notice for
Securities Industry Registration, a uniform form that is hereby adopted for use
in the State of Maine.
12.
NASD."NASD" means the self-regulatory agency commonly known as the
National Association of Securities Dealers.
13.
SEC. "SEC" means the United
States Securities and Exchange Commission.
Notes
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