Code of Maine Rules
02 - DEPARTMENT OF PROFESSIONAL AND FINANCIAL REGULATION
032 - OFFICE OF SECURITIES
- Chapter 504 - BROKER-DEALER AND AGENT LICENSING
- Chapter 506 - FINANCIAL INSTITUTIONS AND BROKER-DEALERS ENGAGING IN THIRD PARTY BROKERAGE ARRANGEMENTS
- Chapter 507 - LICENSING EXEMPTION FOR CERTAIN FOREIGN BROKER-DEALERS
- Chapter 510 - BROKER-DEALERS, INVESTMENT ADVISERS, AND OTHERS USING THE INTERNET FOR GENERAL DISSEMINATION OF INFORMATION ABOUT SECURITIES PRODUCTS AND SERVICES
- Chapter 511 - CHANGE OF OWNERSHIP OR CONTROL OF A BROKER-DEALER OR INVESTMENT ADVISER
- Chapter 512 - PROHIBITION AGAINST USE OF MISLEADING SENIOR DESIGNATIONS
- Chapter 515 - INVESTMENT ADVISER LICENSING
- Chapter 516 - DEFINITION OF CLIENT FOR PURPOSES OF INVESTMENT ADVISER LICENSING AND NOTICE FILING BY FEDERAL COVERED INVESTMENT ADVISERS
- Chapter 523 - RULE REGARDING SHORT-FORM SEED CAPITAL REGISTRATIONS
- Chapter 525 - RULE REGARDING SMALL COMPANY OFFERING REGISTRATIONS
- Chapter 527 - FEDERAL REGULATION CROWDFUNDING NOTICE FILINGS AND FEES
- Chapter 528 - FEDERAL "REGULATION A" TIER 2 NOTICE FILINGS AND FEES
- Chapter 532 - SECURITIES OFFERINGS ON THE INTERNET
- Chapter 533 - MAINE ISSUER NOTIFICATION OF EXEMPTION FORM
- Chapter 534 - LIMITED PRIVATE OFFERING EXEMPTIONS; PURCHASERS PRESENT IN THIS STATE AND SINGLE ISSUE
- Chapter 536 - SECURITIES MANUALS
- Chapter 537 - EXEMPTION FOR OFFERS AND SALES TO ACCREDITED INVESTORS
- Chapter 538 - EXEMPTION FOR OFFERS AND SALES TO THE FINANCE AUTHORITY OF MAINE
- Chapter 539 - OFFERS AND SALES OF VIATICAL OR LIFE SETTLEMENT CONTRACTS
- Chapter 540 - ADJUDICATORY PROCEEDINGS RULE
- Chapter 541 - INITIAL AND ANNUAL RENEWAL FEES
- Chapter 542 - MODEL RESCISSION OFFER FORMS
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