Code of Maine Rules
02 - DEPARTMENT OF PROFESSIONAL AND FINANCIAL REGULATION
032 - OFFICE OF SECURITIES
Chapter 504 - BROKER-DEALER AND AGENT LICENSING
Section 032-504-2 - Electronic filing with designated entity
Current through 2024-38, September 18, 2024
1. Designation. Pursuant to Section 16406(1) of the Act, the Administrator designates the CRD to receive and store filings and collect related fees from broker-dealers and agents on behalf of the Administrator.
2. Use of CRD. Unless otherwise provided, all broker-dealer and agent applications, amendments, reports, notices, related filings and fees required to be filed with the Administrator shall be filed electronically with and transmitted to CRD.
3. Electronic signature. When a signature or signatures are required by the particular instructions of any filing made through CRD, the applicant or a duly authorized officer of the applicant, as required, shall affix his or her electronic signature to the filing by typing his or her name in the appropriate fields and submitting the filing to CRD. Submission of a filing in this manner shall constitute evidence of legal signature by any individuals whose names are typed on the filing.
4. Non-CRD filings. Notwithstanding subsection 2, any documents or fees required to be filed with the Administrator that are not permitted to be filed with or cannot be accepted by CRD shall be filed directly with the Administrator.
