Statutes, codes, and regulations
Maine Administrative Code
Department 02 - DEPARTMENT OF PROFESSIONAL AND FINANCIAL REGULATIONDivision 032 - OFFICE OF SECURITIES
Chapter 510 - BROKER-DEALERS, INVESTMENT ADVISERS, AND OTHERS USING THE INTERNET FOR GENERAL DISSEMINATION OF INFORMATION ABOUT SECURITIES PRODUCTS AND SERVICES
Section 032-510-3 - Limitations of Exemption

02-032-510 Me. Code R. § 3

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Current through 2024-36, September 4, 2024
Section 032-510-3 - Limitations of Exemption

The exemption provided in Section 2 extends to broker-dealer, investment adviser, agent and IA representative licensing requirements only and does not excuse compliance with applicable securities registration, antifraud or related provisions.

02-032 C.M.R. ch. 510, § 3