LICENSING OF BROKER-DEALERS, SALES REPRESENTATIVES AND INVESTMENT ADVISORS

  1. Law
  2. Maine Revised Statutes
  3. PROFESSIONS AND OCCUPATIONS
  4. REVISED MAINE SECURITIES ACT
  5. LICENSING OF BROKER-DEALERS, SALES REPRESENTATIVES AND INVESTMENT ADVISORS

Checkout our iOS App for a better way to browser and research.

Section
32 §10301

Broker-dealer and sales representative licensing requirement (REPEALED)

Section
32 §10302

Exempt broker-dealers and sales representatives (REPEALED)

Section
32 §10303

Investment adviser and investment adviser representative licensing requirement (REPEALED)

Section
32 §10304

Exempt investment advisers (REPEALED)

Section
32 §10305

Application (REPEALED)

Section
32 §10305-A

Notice filing (REPEALED)

Section
32 §10306

Fees (REPEALED)

Section
32 §10307

Examinations (REPEALED)

Section
32 §10308

Licensing (REPEALED)

Section
32 §10309

Annual report and fee (REPEALED)

Section
32 §10310

Post-licensing requirements (REPEALED)

Section
32 §10311

Successor firms (REPEALED)

Section
32 §10312

Inspection power (REPEALED)

Section
32 §10313

Grounds for denial, suspension, revocation, cancellation and withdrawal (REPEALED)

Section
32 §10314

Custody of clients' securities and funds (REPEALED)