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

Universal Citation: 02 ME Code Rules ยง 032-504-1

Current through 2024-38, September 18, 2024

For the purposes of this chapter, the following definitions shall apply:

1. Act. "Act" means the Maine Uniform Securities Act, 32 M.R.S.A. §§16101 to 16702.

2. Administrator. "Administrator" has the same meaning as in 32 M.R.S.A.§16102(1).

3. Agent. "Agent" has the same meaning as in 32 M.R.S.A. §16102(2).

4. Branch office."Branch office" has the same meaning as in 32 M.R.S.A. §16410(1)(F).

5. Broker-dealer. "Broker-dealer" has the same meaning as in 32 M.R.S.A. §16102(4).

6. CRD. "CRD" means the Internet-based Central Registration Depository.

7. Form BD. "Form BD" means the Uniform Application for Broker-Dealer Registration, a uniform form that is hereby adopted for use in the State of Maine.

8. Form BDW. "Form BDW" means the Uniform Request for Broker-Dealer Withdrawal, a uniform form that is hereby adopted for use in the State of Maine.

9. Form BR. "Form BR" means the Uniform Branch Office Registration Form, a uniform form that is hereby adopted for use in the State of Maine.

10. Form U-4. "Form U-4" means the Uniform Application for Securities Industry Registration or Transfer, a uniform form that is hereby adopted for use in the State of Maine.

11. Form U-5. "Form U-5" means the Uniform Termination Notice for Securities Industry Registration, a uniform form that is hereby adopted for use in the State of Maine.

12. NASD."NASD" means the self-regulatory agency commonly known as the National Association of Securities Dealers.

13. SEC. "SEC" means the United States Securities and Exchange Commission.

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