§10301. Broker-dealer and sales representative licensing requirement
(REPEALED)
SECTION HISTORY
PL 1985, c. 400, §2 (NEW). PL 1989, c. 542, §8 (AMD). PL 1997, c. 168, §1 (AMD). PL 1999, c. 37, §§1,2 (AMD). PL 2005, c. 65, §A1 (RP). PL 2005, c. 65, §A3 (AFF). PL 2005, c. 397, §C26 (AFF).
Structure Maine Revised Statutes
TITLE 32: PROFESSIONS AND OCCUPATIONS
Chapter 105: REVISED MAINE SECURITIES ACT (REPEALED)
Subchapter 3: LICENSING OF BROKER-DEALERS, SALES REPRESENTATIVES AND INVESTMENT ADVISORS
32 §10301. Broker-dealer and sales representative licensing requirement (REPEALED)
32 §10302. Exempt broker-dealers and sales representatives (REPEALED)
32 §10303. Investment adviser and investment adviser representative licensing requirement (REPEALED)
32 §10304. Exempt investment advisers (REPEALED)
32 §10305. Application (REPEALED)
32 §10305-A. Notice filing (REPEALED)
32 §10307. Examinations (REPEALED)
32 §10308. Licensing (REPEALED)
32 §10309. Annual report and fee (REPEALED)
32 §10310. Post-licensing requirements (REPEALED)
32 §10311. Successor firms (REPEALED)
32 §10312. Inspection power (REPEALED)
32 §10313. Grounds for denial, suspension, revocation, cancellation and withdrawal (REPEALED)
32 §10314. Custody of clients' securities and funds (REPEALED)