Code of Maine Rules
02 - DEPARTMENT OF PROFESSIONAL AND FINANCIAL REGULATION
032 - OFFICE OF SECURITIES
Chapter 528 - FEDERAL "REGULATION A" TIER 2 NOTICE FILINGS AND FEES
Section 032-528-1 - Definitions

Universal Citation: 02 ME Code Rules ยง 032-528-1

Current through 2024-38, September 18, 2024

1. "Administrator" shall have the same meaning as is set forth in 32 M.R.S. §16102(1).

2. "Regulation A" means Securities and Exchange Commission Rules 251-263, 17 C.F.R. §§ 230.251- 230.263, promulgated pursuant to Sections 3 and 19 of the Securities Act of 1933, 15 U.S.C. §§ 77 c and 77s.

3. "Regulation A - Tier 2 Notice Filing Form" means a form adopted by the Administrator for filing with the Maine Office of Securities for initial Tier 2 filings, renewal Tier 2 filings, and amendments to Tier 2 filings.

4. "Section 18(b)(3) of the Securities Act of 1933" means 15 U.S.C. § 77 r(b)(3).

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

6. "Tier 2" means Tier 2 of "Regulation A."

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