Code of Maine Rules
02 - DEPARTMENT OF PROFESSIONAL AND FINANCIAL REGULATION
032 - OFFICE OF SECURITIES
Chapter 539 - OFFERS AND SALES OF VIATICAL OR LIFE SETTLEMENT CONTRACTS
- Section 032-539-1 - Definitions
- Section 032-539-2 - Registration
- Section 032-539-3 - Filing Requirement
- Section 032-539-4 - Exemption from Registration; Disclosures
- Section 032-539-5 - Licensing
- Section 032-539-6 - Location of Incorporated Matter
- Viatical Disclosure Document I
- Viatical Disclosure Document II
Current through 2024-13, March 27, 2024
Summary: This chapter creates a registration exemption for certain offers or sales of securities if the disclosure requirements of the rule are met. This rule does not exempt broker-dealers or agents who offer or sell the securities from the licensing requirements of the Maine Uniform Securities Act.
STATUTORY AUTHORITY:
32 M.R.S.A. §§16202(25) and 16605
STATUTORY AUTHORITY:
32 M.R.S.A. §§10502(2)(S) and 10703 .
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