BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES AND FEDERAL COVERED INVESTMENT ADVISERS

  1. Law
  2. Maine Revised Statutes
  3. PROFESSIONS AND OCCUPATIONS
  4. MAINE UNIFORM SECURITIES ACT
  5. BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES AND FEDERAL COVERED INVESTMENT ADVISERS

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Section
32 §16401

Broker-dealer licensing requirement and exemptions

Section
32 §16402

Agent licensing requirement and exemptions

Section
32 §16403

Investment adviser licensing requirement and exemptions

Section
32 §16404

Investment adviser representative licensing requirement and exemptions

Section
32 §16405

Federal covered investment adviser notice filing requirement

Section
32 §16406

Licensing of broker-dealers, agents, investment advisers and investment adviser representatives

Section
32 §16407

Succession and change in licensing of broker-dealer or investment adviser

Section
32 §16408

Termination of employment or association of agent and investment adviser representative and transfer of employment or association

Section
32 §16409

Withdrawal or nonrenewal of licensing of broker-dealer, agent, investment adviser and investment adviser representative

Section
32 §16410

Filing fees

Section
32 §16411

Postlicensing requirements

Section
32 §16412

Denial, revocation, suspension, withdrawal, restriction, condition or limitation of licensing