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Laws, Rules & Advisory Rulings

The Office of Securities provides access to the rules and regulations that protect investors in Maine.

Laws

Maine Uniform Securities Act, Title 32, Chapter 135

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Regulations of the Sale of Business Opportunities, Title 32, Chapter 69-B

Maine Commodity Code, Maine Revised Statue Title 32, Chapter 111-A

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Rules

Office of Securities Rules

2010-2011 Regulatory Agenda

Other Advisory Rulings

Series 79 (Investment Banking) Advisory Ruling

 

 

Last Updated: August 3, 2011

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