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 2024-13, March 27, 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."

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.