2010-2011 REGULATORY AGENDA
July 21, 2010
AGENCY UMBRELLA UNIT NUMBER: 02-032
AGENCY NAME: Department of Professional and Financial Regulation, Office of Securities
CONTACT PERSON: Judith M. Shaw, Securities
Administrator, 121 State House Station,
EMERGENCY RULES ADOPTED SINCE THE LAST REGULATORY AGENDA: None
EXPECTED 2010-2011 RULE-MAKING ACTIVITY:
CHAPTER 504: Broker Dealer and Agent Licensing
STATUTORY BASIS: 32 M.R.S.A. §§ 16401, 16402, 16405, 16406, 16408, 16411, 16412, and 16605
PURPOSE: Revise and update this rule to address policy, law, industry, or other changes.
ANTICIPATED SCHEDULE: Prior to 1/2011
AFFECTED PARTIES: Broker Dealers and Agents.
CONSENSUS-BASED RULE DEVELOPMENT: Not expected
CHAPTER 506: Financial Institutions and Broker-Dealers Engaging in Third Party Brokerage Arrangements
STATUTORY BASIS: 32 M.R.S.A. §§ 16401, 16402, 16405, 16406, 16408, 16411, 16412, and 16605
PURPOSE: Revise and update this rule to address policy, law, industry, or other changes.
ANTICIPATED SCHEDULE: Prior to 1/2011
AFFECTED PARTIES: Broker-Dealers and persons representing investment advisers.
CONSENSUS-BASED RULE DEVELOPMENT: Not expected
CHAPTER 515: Investment Adviser Licensing
STATUTORY BASIS: 32 M.R.S.A. §§ 16403, 16404, 16405, 16406, 16408, 16411, 16412, and 16605
PURPOSE: Revise and update this rule to address policy, law, industry, or other changes.
ANTICIPATED SCHEDULE: Prior to 1/2011
AFFECTED PARTIES: Investment advisers and persons representing investment advisers.
CONSENSUS-BASED RULE DEVELOPMENT: Not expected