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
Section 032-510-3 - Limitations of Exemption

Universal Citation: 02 ME Code Rules § 032-510-3

Current through 2024-38, September 18, 2024

The exemption provided in Section 2 extends to broker-dealer, investment adviser, agent and IA representative licensing requirements only and does not excuse compliance with applicable securities registration, antifraud or related provisions.

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