Code of Maine Rules
02 - DEPARTMENT OF PROFESSIONAL AND FINANCIAL REGULATION
032 - OFFICE OF SECURITIES
Chapter 525 - RULE REGARDING SMALL COMPANY OFFERING REGISTRATIONS
Section 032-525-1 - Definitions

Universal Citation: 02 ME Code Rules ยง 032-525-1

Current through 2024-38, September 18, 2024

1. "Form U-7" means the Small Company Offering Registration Disclosure Document Form as revised and adopted by the North American Securities Administrators Association, Inc. on September 28, 1999.

2. "NASAA" means the North American Securities Administrators Association, Inc.

3. "Policy Statement" means the Statement of Policy Regarding Small Company Offering Registrations adopted by the North American Securities Administrators Association, Inc. on April 28, 1996.

4. "Regulation A" means SEC Regulation A, 17 CFR § 230.251 et seq., promulgated pursuant to the Securities Act of 1933, 15 U.S.C. § 77 a et seq.

5. "Rule 147 " means SEC Rule 147, 17 C FR § 230.147, promulgated pursuant to the Securities Act of 1933, 15 U.S.C. § 77 a et seq.

6. "Rule 504 " means Rule 504 of SEC Regulation D, 17 CFR § 230.504, promulgated pursuant to the Securities Act of 1933, 15 U.S.C. § 77 a et seq.

7. "Security" or "Securities" shall have the same meaning as is set forth in 32 M.R.S.A. §16102(28).

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