02-032 C.M.R. ch. 504, § - BROKER-DEALER AND AGENT LICENSING

  1. § 032-504-1 - Definitions
  2. § 032-504-2 - Electronic filing with designated entity
  3. § 032-504-3 - Application for licensure
  4. § 032-504-4 - Termination, transfer and withdrawal
  5. § 032-504-5 - Broker-dealers not members of NASD and their agents; agents of issuers
  6. § 032-504-6 - Examination and training requirements
  7. § 032-504-7 - Reasonable supervision
  8. § 032-504-8 - Dishonest and unethical practices
  9. § 032-504-9 - Dishonest or Unethical Practices: Investment Company Shares
  10. § 032-504-10 - Location of forms

Summary: This chapter outlines licensing procedures and other requirements for broker-dealers and agents licensed with the State of Maine Office of Securities.

Notes

02-032 C.M.R. ch. 504, §
EFFECTIVE DATE:
December 31, 2005 - filing 2005-505
NON-SUBSTANTIVE CORRECTIONS:
February 23, 2006 - capitalizations and punctuation only
AMENDED:
November 3, 2008 - Section 8sub-sections 41, 42, 43, filing 2008-520
12/14/2019 filing 2019- 221

STATUTORY AUTHORITY: 32 M.R.S. §§16406 , 16411 , 16412 and 16605

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