C.M.R. 02, 032, ch. 541 - INITIAL AND ANNUAL RENEWAL FEES

  1. § 032-541-1 - Initial License or Notice Fees
  2. § 032-541-2 - Annual Renewal Fees

Summary: The Office of Securities regulates broker-dealers and agents who offer and sell securities in Maine, investment advisers and investment adviser representatives who provide investment advice for compensation in Maine, and broker-dealer or investment adviser branch offices located in Maine. These persons or entities are required to pay initial application or notice fees and annual renewal fees. Pursuant to 32 M.R.S.A. §16410(1), fees for these license or notice categories must be set by the Securities Administrator beneath statutory fee caps.

Notes

C.M.R. 02, 032, ch. 541
EFFECTIVE DATE:
November 23, 2003 - filing 2003-439
AMENDED:
December 31, 2005 - filing 2005-523 EFFECTIVE DATE:
November 23, 2003 - filing 2003-439
AMENDED:
December 31, 2005 - filing 2005-523
9/17/2014 filing 2014- 222

STATUTORY AUTHORITY: 32 M.R.S.A. §§16410(1) and 16605

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