Code of Maine Rules
02 - DEPARTMENT OF PROFESSIONAL AND FINANCIAL REGULATION
032 - OFFICE OF SECURITIES
Chapter 537 - EXEMPTION FOR OFFERS AND SALES TO ACCREDITED INVESTORS
Section 032-537-4 - Exemption from Agent Licensing
Universal Citation: 02 ME Code Rules ยง 032-537-4
Current through 2024-38, September 18, 2024
An agent acting for an issuer in effecting offers or sales of securities in transactions exempt under Section 2 of this rule is exempt from the licensing requirements of Section 16402(1) of the Maine Uniform Securities Act.
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