Code of Maine Rules
02 - DEPARTMENT OF PROFESSIONAL AND FINANCIAL REGULATION
032 - OFFICE OF SECURITIES
Chapter 511 - CHANGE OF OWNERSHIP OR CONTROL OF A BROKER-DEALER OR INVESTMENT ADVISER
Current through 2024-13, March 27, 2024
Summary: This chapter requires broker-dealers and investment advisers to file a new licensing application when their ownership or control changes substantially. This chapter requires a new application when the ownership or control of a broker-dealer or investment adviser has changed by more than 45% within a 10-year period.
STATUTORY AUTHORITY: 32 M.R.S.A. §§16407(4) and 16605 .
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