Code of Maine Rules
02 - DEPARTMENT OF PROFESSIONAL AND FINANCIAL REGULATION
032 - OFFICE OF SECURITIES
Chapter 510 - BROKER-DEALERS, INVESTMENT ADVISERS, AND OTHERS USING THE INTERNET FOR GENERAL DISSEMINATION OF INFORMATION ABOUT SECURITIES PRODUCTS AND SERVICES
Current through 2024-38, September 18, 2024
Summary: This rule clarifies when broker-dealers, agents, investment advisers, investment adviser representatives, and others are transacting business in this State for purposes of Sections 16401 through 16404, respectively, of the Maine Uniform Securities Act by distributing information on available products and services through Internet communications available to persons in this State.
STATUTORY AUTHORITY: 32 M.R.S.A. §§16401 - 16404 and 16605
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