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The rules listed below, unless otherwise noted, are Word documents.
Chapter 504: Broker-Dealer and Agent Licensing
Chapter 506: Financial Institutions and Broker-Dealers Engaging in Third Party Brokerage Arrangements
Chapter 507: Licensing Exemption for Certain Foreign Broker-Dealers
Chapter 510: Broker-Dealers, Investment Advisers, and Others Using the Internet for General Dissemination of Information About Securities Products and Services.
Chapter 511: Change of Ownership or Control of a Broker-Dealer or Investment Adviser
Chapter 512: Prohibition Against Use of Misleading Senior Designations
Chapter 515: Investment Adviser Licensing
Chapter 516: Definition of Client for Purposes of Investment Adviser Licensing and Notice Filing by Federal Covered Investment Advisers
Chapter 525: Rule Regarding Small Company Offering Registrations
Chapter 532: Securities Offerings on the Internet
Chapter 533: Maine Issuer Notification of Exemption Form
Chapter 534: Limited Private Offering Exemptions; Purchasers Present in this State and Single Issue
Chapter 536: Securities Manuals
Chapter 537: Exemption for Offers and Sales to Accredited Investors
Chapter 538: Exemption for Offers and Sales to the Finance Authority of Maine
Chapter 539: Offers and Sales of Viatical or Life Settlement Contracts
Chapter 540: Adjudicatory Proceedings Rule
Chapter 541: Initial and Annual Renewal Fees
Chapter 542: Model Recission Offer Forms
Last Updated: April 10, 2009
