C.M.R. 02, 032, ch. 507

Current through 2024-36, September 4, 2024

Chapter 507 - LICENSING EXEMPTION FOR CERTAIN FOREIGN BROKER-DEALERS

Summary: This chapter exempts certain foreign broker-dealers from the licensing requirements of 32 M.R.S.A. §16401 and exempts their offers and sales of securities from the registration requirements of 32 M.R.S.A. §16301. This chapter also exempts agents who represent such broker-dealers from the licensing requirements of 32 M.R.S.A. §16402.

C.M.R. 02, 032, ch. 507

EFFECTIVE DATE:
April 1, 1997 - under 02-029, Bureau of Banking, Securities Division
EFFECTIVE DATE (ELECTRONIC CONVERSION):
May 7, 2001
NON-SUBSTANTIVE CORRECTIONS:
October 22, 2001 - to reflect move to new Office of Securities, 02-032, mandated by P.L. 2001 c.182
AMENDED:
December 31, 2005 - filing 2005-514

STATUTORY AUTHORITY: 32 M.R.S.A. §§16401(4) , 16402(2) , 16203 , and 16605(1)