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2021 Maine Revised Statutes
TITLE 32: PROFESSIONS AND OCCUPATIONS
Chapter 135: MAINE UNIFORM SECURITIES ACT
Subchapter 4: BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES AND FEDERAL COVERED INVESTMENT ADVISERS
- 32 §16401. Broker-dealer licensing requirement and exemptions
- 32 §16402. Agent licensing requirement and exemptions
- 32 §16403. Investment adviser licensing requirement and exemptions
- 32 §16404. Investment adviser representative licensing requirement and exemptions
- 32 §16405. Federal covered investment adviser notice filing requirement
- 32 §16406. Licensing of broker-dealers, agents, investment advisers and investment adviser representatives
- 32 §16407. Succession and change in licensing of broker-dealer or investment adviser
- 32 §16408. Termination of employment or association of agent and investment adviser representative and transfer of employment or association
- 32 §16409. Withdrawal or nonrenewal of licensing of broker-dealer, agent, investment adviser and investment adviser representative
- 32 §16410. Filing fees
- 32 §16411. Postlicensing requirements
- 32 §16412. Denial, revocation, suspension, withdrawal, restriction, condition or limitation of licensing
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