Code of Maine Rules
02 - DEPARTMENT OF PROFESSIONAL AND FINANCIAL REGULATION
029 - BUREAU OF FINANCIAL INSTITUTIONS
Chapter 129 - FINANCIAL INSTITUTIONS AND BROKER-DEALERS ENGAGING IN THIRD PARTY BROKERAGE ARRANGEMENTS (REG. 29)
Section 029-129-7 - Broker-dealer unethical practice defined
Universal Citation: 02 ME Code Rules ยง 029-129-7
Current through 2024-13, March 27, 2024
For purposes of 32 M.R.S.A. §16412(4)(M), it is an unethical practice in the securities business for a broker-dealer engaging in a third party brokerage arrangement with a financial institution authorized to do business in this State to fail to comply with any of the requirements set forth in Sections 5 or 6 of this rule, or to allow anyone other than personnel licensed by the Maine Office of Securities to conduct securities transactions.
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