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 029-129-9 - Federal and state rules and regulations

Universal Citation: 02 ME Code Rules ยง 029-129-9
Current through 2024-13, March 27, 2024

It is recognized that the Federal Deposit Insurance Corporation, the Federal Reserve System, the Comptroller of the Currency, the Office of Thrift Supervision, the National Credit Union Administration and the Securities and Exchange Commission have promulgated, or may in the future promulgate, regulations or guidelines governing the manner in which a financial institution or any of its affiliates and a broker-dealer may engage in securities activities. It is further recognized that there may exist differences in scope and coverage between this rule and those regulations promulgated by federal regulatory agencies. It is not the intent of this rule to permit any practice that is not permitted by the appropriate state or federal regulatory agency. In addition to any restriction or limitation stated in this rule, each financial institution, or any of its affiliates, and each broker-dealer must fully comply with the rules or regulations of any applicable state or federal regulatory agency and self-regulatory organization.

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