State Codes and Statutes
Statutes > Maine > Title32 > Title32ch135sec0
32 §16101. Short title
32 §16102. Definitions
32 §16103. References to federal statutes
32 §16104. References to federal agencies
32 §16105. Electronic records and signatures
32 §16201. Exempt securities
32 §16202. Exempt transactions
32 §16203. Additional exemptions and waivers
32 §16204. Denial, suspension, revocation, condition or limitation of exemptions
32 §16301. Securities registration requirement
32 §16302. Notice filing
32 §16303. Securities registration by coordination
32 §16304. Securities registration by qualification
32 §16305. Securities registration filings
32 §16306. Denial, suspension and revocation of securities registration
32 §16307. Waiver and modification
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 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
32 §16501. General fraud
32 §16502. Prohibited conduct in providing investment advice
32 §16503. Evidentiary burden
32 §16504. Filing of sales and advertising literature
32 §16505. Misleading filings
32 §16506. Misrepresentations concerning licensing, registration or exemption
32 §16507. Qualified immunity
32 §16508. Criminal penalties
32 §16509. Civil liability
32 §16510. Rescission offers
32 §16511. Right to rescission applicable to sales of viatical or life settlement contracts
32 §16601. Administration
32 §16602. Investigations and subpoenas
32 §16603. Civil enforcement
32 §16604. Administrative enforcement
32 §16605. Rules, forms, orders, interpretative opinions and hearings
32 §16606. Administrative files and opinions
32 §16607. Public records; confidentiality
32 §16608. Uniformity and cooperation with other agencies
32 §16609. Judicial review
32 §16610. Jurisdiction
32 §16611. Service of process
32 §16612. Liability of control persons
32 §16613. Administrative determination of abandonment
32 §16701. Effective date
32 §16702. Application
State Codes and Statutes
Statutes > Maine > Title32 > Title32ch135sec0
32 §16101. Short title
32 §16102. Definitions
32 §16103. References to federal statutes
32 §16104. References to federal agencies
32 §16105. Electronic records and signatures
32 §16201. Exempt securities
32 §16202. Exempt transactions
32 §16203. Additional exemptions and waivers
32 §16204. Denial, suspension, revocation, condition or limitation of exemptions
32 §16301. Securities registration requirement
32 §16302. Notice filing
32 §16303. Securities registration by coordination
32 §16304. Securities registration by qualification
32 §16305. Securities registration filings
32 §16306. Denial, suspension and revocation of securities registration
32 §16307. Waiver and modification
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 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
32 §16501. General fraud
32 §16502. Prohibited conduct in providing investment advice
32 §16503. Evidentiary burden
32 §16504. Filing of sales and advertising literature
32 §16505. Misleading filings
32 §16506. Misrepresentations concerning licensing, registration or exemption
32 §16507. Qualified immunity
32 §16508. Criminal penalties
32 §16509. Civil liability
32 §16510. Rescission offers
32 §16511. Right to rescission applicable to sales of viatical or life settlement contracts
32 §16601. Administration
32 §16602. Investigations and subpoenas
32 §16603. Civil enforcement
32 §16604. Administrative enforcement
32 §16605. Rules, forms, orders, interpretative opinions and hearings
32 §16606. Administrative files and opinions
32 §16607. Public records; confidentiality
32 §16608. Uniformity and cooperation with other agencies
32 §16609. Judicial review
32 §16610. Jurisdiction
32 §16611. Service of process
32 §16612. Liability of control persons
32 §16613. Administrative determination of abandonment
32 §16701. Effective date
32 §16702. Application
State Codes and Statutes
Statutes >
Maine >
Title32 >
Title32ch135sec032 §16101. Short title32 §16102. Definitions32 §16103. References to federal statutes32 §16104. References to federal agencies32 §16105. Electronic records and signatures32 §16201. Exempt securities32 §16202. Exempt transactions32 §16203. Additional exemptions and waivers32 §16204. Denial, suspension, revocation, condition or limitation of exemptions32 §16301. Securities registration requirement32 §16302. Notice filing32 §16303. Securities registration by coordination32 §16304. Securities registration by qualification32 §16305. Securities registration filings32 §16306. Denial, suspension and revocation of securities registration32 §16307. Waiver and modification32 §16401. Broker-dealer licensing requirement and exemptions32 §16402. Agent licensing requirement and exemptions32 §16403. Investment adviser licensing requirement and exemptions32 §16404. Investment adviser representative licensing requirement and exemptions32 §16405. Federal covered investment adviser notice filing requirement32 §16406. Licensing of broker-dealers, agents, investment advisers and investment adviser representatives32 §16407. Succession and change in licensing of broker-dealer or investment adviser32 §16408. Termination of employment or association of agent and investment adviser representative and transfer of employment or association32 §16409. Withdrawal of licensing of broker-dealer, agent, investment adviser and investment adviser representative32 §16410. Filing fees32 §16411. Postlicensing requirements32 §16412. Denial, revocation, suspension, withdrawal, restriction, condition or limitation of licensing32 §16501. General fraud32 §16502. Prohibited conduct in providing investment advice32 §16503. Evidentiary burden32 §16504. Filing of sales and advertising literature32 §16505. Misleading filings32 §16506. Misrepresentations concerning licensing, registration or exemption32 §16507. Qualified immunity32 §16508. Criminal penalties32 §16509. Civil liability32 §16510. Rescission offers32 §16511. Right to rescission applicable to sales of viatical or life settlement contracts32 §16601. Administration32 §16602. Investigations and subpoenas32 §16603. Civil enforcement32 §16604. Administrative enforcement32 §16605. Rules, forms, orders, interpretative opinions and hearings32 §16606. Administrative files and opinions32 §16607. Public records; confidentiality32 §16608. Uniformity and cooperation with other agencies32 §16609. Judicial review32 §16610. Jurisdiction32 §16611. Service of process32 §16612. Liability of control persons32 §16613. Administrative determination of abandonment32 §16701. Effective date32 §16702. Application
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