Code of Maine Rules
02 - DEPARTMENT OF PROFESSIONAL AND FINANCIAL REGULATION
032 - OFFICE OF SECURITIES
Chapter 512 - PROHIBITION AGAINST USE OF MISLEADING SENIOR DESIGNATIONS
Current through 2024-13, March 27, 2024
Summary: This rule establishes a prohibition against the use of senior specific certifications or designations under circumstances that may mislead investors. Adverse licensing action may be taken against a broker-dealer, agent, investment adviser, or investment adviser representative who engages in conduct prohibited by the rule.
STATUTORY AUTHORITY: 32 M.R.S.A. §16605
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