032 - OFFICE OF SECURITIES

  1. Chapter 504 - BROKER-DEALER AND AGENT LICENSING (§ 032-504-1 to 032-504-10)
  2. Chapter 506 - FINANCIAL INSTITUTIONS AND BROKER-DEALERS ENGAGING IN THIRD PARTY BROKERAGE ARRANGEMENTS (§ 032-506-1 to 032-506-9)
  3. Chapter 507 - LICENSING EXEMPTION FOR CERTAIN FOREIGN BROKER-DEALERS (§ 032-507-1 to 032-507-3)
  4. Chapter 510 - BROKER-DEALERS, INVESTMENT ADVISERS, AND OTHERS USING THE INTERNET FOR GENERAL DISSEMINATION OF INFORMATION ABOUT SECURITIES PRODUCTS AND SERVICES (§ 032-510-1 to 032-510-3)
  5. Chapter 511 - CHANGE OF OWNERSHIP OR CONTROL OF A BROKER-DEALER OR INVESTMENT ADVISER (§ 032-511-1)
  6. Chapter 512 - PROHIBITION AGAINST USE OF MISLEADING SENIOR DESIGNATIONS (§ 032-512-1 to 032-512-2)
  7. Chapter 515 - INVESTMENT ADVISER LICENSING (§ 032-515-1 to 032-515-15)
  8. Chapter 516 - DEFINITION OF CLIENT FOR PURPOSES OF INVESTMENT ADVISER LICENSING AND NOTICE FILING BY FEDERAL COVERED INVESTMENT ADVISERS (§ 032-516-1 to 032-516-2)
  9. Chapter 523 - RULE REGARDING SHORT-FORM SEED CAPITAL REGISTRATIONS (§ 032-523-1 to 032-523-9)
  10. Chapter 525 - RULE REGARDING SMALL COMPANY OFFERING REGISTRATIONS (§ 032-525-1 to 032-525-7)
  11. Chapter 527 - FEDERAL REGULATION CROWDFUNDING NOTICE FILINGS AND FEES (§ 032-527-1 to 032-527-4)
  12. Chapter 528 - FEDERAL "REGULATION A" TIER 2 NOTICE FILINGS AND FEES (§ 032-528-1 to 032-528-4)
  13. Chapter 532 - SECURITIES OFFERINGS ON THE INTERNET (§ 032-532-1 to 032-532-4)
  14. Chapter 533 - MAINE ISSUER NOTIFICATION OF EXEMPTION FORM (§ 032-533-1 to 032-533-2)
  15. Chapter 534 - LIMITED PRIVATE OFFERING EXEMPTIONS; PURCHASERS PRESENT IN THIS STATE AND SINGLE ISSUE (§ 032-534-1 to 032-534-3)
  16. Chapter 536 - SECURITIES MANUALS (§ 032-536-1 to 032-536-2)
  17. Chapter 537 - EXEMPTION FOR OFFERS AND SALES TO ACCREDITED INVESTORS (§ 032-537-1 to 032-537-5)
  18. Chapter 538 - EXEMPTION FOR OFFERS AND SALES TO THE FINANCE AUTHORITY OF MAINE (§ 032-538-1 to 032-538-2)
  19. Chapter 539 - OFFERS AND SALES OF VIATICAL OR LIFE SETTLEMENT CONTRACTS (§ 032-539-1 to 032-539-6)
  20. Chapter 540 - ADJUDICATORY PROCEEDINGS RULE, version 2 (§ 032-540-1 to 032-540-21)
  21. Chapter 541 - INITIAL AND ANNUAL RENEWAL FEES (§ 032-541-1 to 032-541-2)
  22. Chapter 542 - MODEL RESCISSION OFFER FORMS, version 2 (§ 032-542-1 to 032-542-3)

State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.

No prior version found.