Code of Maine Rules
02 - DEPARTMENT OF PROFESSIONAL AND FINANCIAL REGULATION
032 - OFFICE OF SECURITIES
Chapter 507 - LICENSING EXEMPTION FOR CERTAIN FOREIGN BROKER-DEALERS
Current through 2024-13, March 27, 2024
Summary: This chapter exempts certain foreign broker-dealers from the licensing requirements of 32 M.R.S.A. §16401 and exempts their offers and sales of securities from the registration requirements of 32 M.R.S.A. §16301. This chapter also exempts agents who represent such broker-dealers from the licensing requirements of 32 M.R.S.A. §16402.
STATUTORY AUTHORITY: 32 M.R.S.A. §§16401(4) , 16402(2) , 16203 , and 16605(1)
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.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
