Code of Maine Rules
02 - DEPARTMENT OF PROFESSIONAL AND FINANCIAL REGULATION
032 - OFFICE OF SECURITIES
Chapter 540 - ADJUDICATORY PROCEEDINGS RULE
- Section 032-540-1 - Scope
- Section 032-540-2 - Definitions
- Section 032-540-3 - Service on Parties
- Section 032-540-4 - Filing with the Administrator or Presiding Officer
- Section 032-540-5 - Computation of Time
- Section 032-540-6 - Form of Papers and Submissions
- Section 032-540-7 - Motions
- Section 032-540-8 - Timing and Manner of Intervention
- Section 032-540-9 - Addition, Deletion, and Substitution of Parties
- Section 032-540-10 - Consolidation and Severance
- Section 032-540-11 - Continuances
- Section 032-540-12 - Discovery
- Section 032-540-13 - Pre-Hearing Conferences
- Section 032-540-14 - Pre-Hearing Exchange
- Section 032-540-15 - Mediation
- Section 032-540-16 - Witnesses
- Section 032-540-17 - Conduct of Hearing
- Section 032-540-18 - Representation
- Section 032-540-19 - Failures to Appear; Grounds for Default
- Section 032-540-20 - Ex Parte Communications
- Section 032-540-21 - Effective Date
Current through 2024-13, March 27, 2024
Summary: This rule establishes procedures for the conduct of adjudicatory proceedings before the Office of Securities. The rule should be read in conjunction with the statutory provisions for adjudicatory proceedings in the Maine Administrative Procedure Act, 5 M.R.S.A. §§9051 - 9064. The rule provides guidance to all persons who are parties to or otherwise participating in administrative enforcement proceedings under the Maine Uniform Securities Act. The rule helps to ensure that such proceedings are handled in an expeditious and procedurally fair manner.
STATUTORY AUTHORITY:
5 M.R.S.A. §8051 and 32 M. R.S.A. § 16605
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.
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