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 2024-13, March 27, 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
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