Code of Maine Rules
02 - DEPARTMENT OF PROFESSIONAL AND FINANCIAL REGULATION
032 - OFFICE OF SECURITIES
Chapter 516 - DEFINITION OF CLIENT FOR PURPOSES OF INVESTMENT ADVISER LICENSING AND NOTICE FILING BY FEDERAL COVERED INVESTMENT ADVISERS
Current through 2024-38, September 18, 2024
Summary: This rule describes how an investment adviser or federal covered investment adviser should count clients in particular situations for purposes of the de minimis exemptions to licensing or notice filing in Sections 10403(2)(B) and 10405(2)(B) of the Maine Uniform Securities Act.
STATUTORY AUTHORITY: 32 M.R.S.A. §16605
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.
