Code of Maine Rules
02 - DEPARTMENT OF PROFESSIONAL AND FINANCIAL REGULATION
032 - OFFICE OF SECURITIES
Chapter 504 - BROKER-DEALER AND AGENT LICENSING
- Section 032-504-1 - Definitions
- Section 032-504-2 - Electronic filing with designated entity
- Section 032-504-3 - Application for licensure
- Section 032-504-4 - Termination, transfer and withdrawal
- Section 032-504-5 - Broker-dealers not members of NASD and their agents; agents of issuers
- Section 032-504-6 - Examination and training requirements
- Section 032-504-7 - Reasonable supervision
- Section 032-504-8 - Dishonest and unethical practices
- Section 032-504-9 - Dishonest or Unethical Practices: Investment Company Shares
- Section 032-504-10 - Location of forms
Current through 2024-38, September 18, 2024
Summary: This chapter outlines licensing procedures and other requirements for broker-dealers and agents licensed with the State of Maine Office of Securities.
STATUTORY AUTHORITY: 32 M.R.S. §§16406, 16411 , 16412 and 16605
Disclaimer: These regulations may not be the most recent version. Maine may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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