There is a newer version of the Maine Revised Statutes
2012 Maine Revised Statutes
TITLE 32: PROFESSIONS AND OCCUPATIONS
Chapter 105: REVISED MAINE SECURITIES ACT
Subchapter 1: OFFICE OF SECURITIES AND SECURITIES ADMINISTRATOR- 32 §10101. Short title (REPEALED)
- 32 §10102. Office of Securities (REPEALED)
- 32 §10103. Administrator and other personnel (REPEALED)
- 32 §10201. Offers, sales and purchases (REPEALED)
- 32 §10202. Market manipulation (REPEALED)
- 32 §10203. Prohibited actions by investment advisers (REPEALED)
- 32 §10204. Misleading filings (REPEALED)
- 32 §10205. Unlawful representations concerning licensing, registration or exemption (REPEALED)
- 32 §10301. Broker-dealer and sales representative licensing requirement (REPEALED)
- 32 §10302. Exempt broker-dealers and sales representatives (REPEALED)
- 32 §10303. Investment adviser and investment adviser representative licensing requirement (REPEALED)
- 32 §10304. Exempt investment advisers (REPEALED)
- 32 §10305. Application (REPEALED)
- 32 §10305-A. Notice filing (REPEALED)
- 32 §10306. Fees (REPEALED)
- 32 §10307. Examinations (REPEALED)
- 32 §10308. Licensing (REPEALED)
- 32 §10309. Annual report and fee (REPEALED)
- 32 §10310. Post-licensing requirements (REPEALED)
- 32 §10311. Successor firms (REPEALED)
- 32 §10312. Inspection power (REPEALED)
- 32 §10313. Grounds for denial, suspension, revocation, cancellation and withdrawal (REPEALED)
- 32 §10314. Custody of clients' securities and funds (REPEALED)
- 32 §10401. Registration requirement (REPEALED)
- 32 §10402. Registration by notification (REPEALED)
- 32 §10403. Registration by coordination (REPEALED)
- 32 §10404. Registration by qualification (REPEALED)
- 32 §10405. Provisions applicable to registration generally (REPEALED)
- 32 §10406. Denial, suspension and revocation of registration (REPEALED)
- 32 §10501. Definitions (REPEALED)
- 32 §10502. Exemptions (REPEALED)
- 32 §10503. Filing of sales and advertising literature (REPEALED)
- 32 §10504. Filing of sales and advertising literature (REPEALED)
- 32 §10505. Federal covered securities (REPEALED)
- 32 §10601. Investigations (REPEALED)
- 32 §10602. Enforcement of Act (REPEALED)
- 32 §10603. Power of court to grant relief (REPEALED)
- 32 §10604. Criminal penalties (REPEALED)
- 32 §10605. Civil liability (REPEALED)
- 32 §10606. Civil statute of limitations (REPEALED)
- 32 §10607. Rescission and settlement offers (REPEALED)
- 32 §10607-A. Right to rescission applicable to sales of viatical settlement contracts (REPEALED)
- 32 §10608. Miscellaneous provisions (REPEALED)
- 32 §10701. Administration of Act (REPEALED)
- 32 §10702. Cooperation with other agencies (REPEALED)
- 32 §10703. General authority to adopt rules, forms and orders (REPEALED)
- 32 §10704. Consent to service of process (REPEALED)
- 32 §10705. Advisory rulings; declaratory rulings (REPEALED)
- 32 §10706. Administrative files (REPEALED)
- 32 §10707. Scope of the Act (REPEALED)
- 32 §10708. Procedure for entry of an order (REPEALED)
- 32 §10709. Judicial review of orders (REPEALED)
- 32 §10710. Repeal and saving provisions (REPEALED)
- 32 §10711. Acts of Superintendent of Financial Institutions (REPEALED)
- 32 §10712. Authority to change fees (REPEALED)
- 32 §10713. Operating fund (REPEALED)
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