Maine Revised Statutes
TITLE 32: PROFESSIONS AND OCCUPATIONS
Chapter 135: MAINE UNIFORM SECURITIES ACT

32 §16204. Denial, suspension, revocation, condition or limitation of exemptions - §16204. Denial, suspension, revocation, condition or limitation of exemptions 1....

Subchapter 3: REGISTRATION OF SECURITIES AND NOTICE FILING OF FEDERAL COVERED SECURITIES

32 §16301. Securities registration requirement - §16301. Securities registration requirement It is unlawful for a person...

32 §16302. Notice filing - §16302. Notice filing 1. Notice filings for federal covered securities...

32 §16303. Securities registration by coordination - §16303. Securities registration by coordination 1. Registration permitted. A security...

32 §16304. Securities registration by qualification - §16304. Securities registration by qualification 1. Registration permitted. A security...

32 §16305. Securities registration filings - §16305. Securities registration filings 1. Who may file. A registration...

32 §16306. Denial, suspension and revocation of securities registration - §16306. Denial, suspension and revocation of securities registration 1. Stop...

32 §16307. Waiver and modification - §16307. Waiver and modification By rule issued or order adopted...

Subchapter 4: BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES AND FEDERAL COVERED INVESTMENT ADVISERS

32 §16401. Broker-dealer licensing requirement and exemptions - §16401. Broker-dealer licensing requirement and exemptions 1. Licensing requirement. It...

32 §16402. Agent licensing requirement and exemptions - §16402. Agent licensing requirement and exemptions 1. Licensing requirement. It...

32 §16403. Investment adviser licensing requirement and exemptions - §16403. Investment adviser licensing requirement and exemptions 1. Licensing requirement....

32 §16404. Investment adviser representative licensing requirement and exemptions - §16404. Investment adviser representative licensing requirement and exemptions 1. Licensing...

32 §16405. Federal covered investment adviser notice filing requirement - §16405. Federal covered investment adviser notice filing requirement 1. Notice...

32 §16406. Licensing of broker-dealers, agents, investment advisers and investment adviser representatives - §16406. Licensing of broker-dealers, agents, investment advisers and investment adviser...

32 §16407. Succession and change in licensing of broker-dealer or investment adviser - §16407. Succession and change in licensing of broker-dealer or investment...

32 §16408. Termination of employment or association of agent and investment adviser representative and transfer of employment or association - §16408. Termination of employment or association of agent and investment...

32 §16409. Withdrawal or nonrenewal of licensing of broker-dealer, agent, investment adviser and investment adviser representative - §16409. Withdrawal or nonrenewal of licensing of broker-dealer, agent, investment...

32 §16410. Filing fees - §16410. Filing fees 1. Fees established by administrator. The administrator...

32 §16411. Postlicensing requirements - §16411. Postlicensing requirements 1. Financial requirements. A rule adopted or...

32 §16412. Denial, revocation, suspension, withdrawal, restriction, condition or limitation of licensing - §16412. Denial, revocation, suspension, withdrawal, restriction, condition or limitation of...

Subchapter 5: FRAUD AND LIABILITIES

32 §16501. General fraud - §16501. General fraud It is unlawful for a person, in...

32 §16502. Prohibited conduct in providing investment advice - §16502. Prohibited conduct in providing investment advice 1. Fraud in...

32 §16503. Evidentiary burden - §16503. Evidentiary burden 1. Civil. In a civil action or...

32 §16504. Filing of sales and advertising literature - §16504. Filing of sales and advertising literature 1. Filing requirement....

32 §16505. Misleading filings - §16505. Misleading filings It is unlawful for a person to...

32 §16506. Misrepresentations concerning licensing, registration or exemption - §16506. Misrepresentations concerning licensing, registration or exemption The filing of...

32 §16507. Qualified immunity - §16507. Qualified immunity A broker-dealer, agent, investment adviser, federal covered...

32 §16508. Criminal penalties - §16508. Criminal penalties 1. Criminal penalties. A person that intentionally...

32 §16509. Civil liability - §16509. Civil liability 1. Securities Litigation Uniform Standards Act. Enforcement...

32 §16510. Rescission offers - §16510. Rescission offers 1. Requirements. A purchaser, seller or recipient...

32 §16511. Right to rescission applicable to sales of viatical or life settlement contracts - §16511. Right to rescission applicable to sales of viatical or...

Subchapter 5-A: SECURITIES RESTITUTION ASSISTANCE FUND

32 §16521. Definitions - §16521. Definitions As used in this subchapter, unless the context...

32 §16522. Securities Restitution Assistance Fund - §16522. Securities Restitution Assistance Fund 1. Fund established. The Securities...

32 §16523. Claims - §16523. Claims 1. Eligible victims. The following victims are eligible...

32 §16524. Confidentiality of personal information - §16524. Confidentiality of personal information Personal information contained in an...

32 §16525. Payment of restitution assistance; limits - §16525. Payment of restitution assistance; limits 1. Payment cap. The...

32 §16526. Conditions under which award of restitution assistance prohibited - §16526. Conditions under which award of restitution assistance prohibited The...

32 §16527. Final order overturned; recovery of restitution assistance - §16527. Final order overturned; recovery of restitution assistance If an...

32 §16528. Award not subject to execution, attachment, garnishment or other process - §16528. Award not subject to execution, attachment, garnishment or other...

32 §16529. Claimant convicted of forgery, fraud, deception or falsification forfeits restitution assistance award; recovery - §16529. Claimant convicted of forgery, fraud, deception or falsification forfeits...

32 §16530. Rights of State - §16530. Rights of State 1. Subrogation. The State is subrogated...

32 §16531. Refund of excess award - §16531. Refund of excess award A claimant shall refund to...

32 §16532. Return of recovered money to fund - §16532. Return of recovered money to fund The administrator shall...

32 §16533. Suspension of payment - §16533. Suspension of payment If payment of restitution assistance under...

32 §16534. Rulemaking - §16534. Rulemaking The administrator may adopt rules pursuant to the...

Subchapter 6: ADMINISTRATION AND JUDICIAL REVIEW

32 §16601. Administration - §16601. Administration 1. Office of Securities; administrator. There is created...

32 §16602. Investigations and subpoenas - §16602. Investigations and subpoenas 1. Authority to investigate. The administrator...

32 §16603. Civil enforcement - §16603. Civil enforcement 1. Civil action instituted by administrator. If...

32 §16604. Administrative enforcement - §16604. Administrative enforcement 1. Issuance of order or notice. If...

32 §16605. Rules, forms, orders, interpretative opinions and hearings - §16605. Rules, forms, orders, interpretative opinions and hearings 1. Issuance...

32 §16606. Administrative files and opinions - §16606. Administrative files and opinions 1. Public register of filings....

32 §16607. Public records; confidentiality - §16607. Public records; confidentiality 1. Presumption of public records. Except...

32 §16608. Uniformity and cooperation with other agencies - §16608. Uniformity and cooperation with other agencies 1. Objective of...

32 §16609. Judicial review - §16609. Judicial review 1. Judicial review of orders. Notwithstanding Title...

32 §16610. Jurisdiction - §16610. Jurisdiction 1. Sales and offers to sell. The following...

32 §16611. Service of process - §16611. Service of process 1. Signed consent to service of...

32 §16612. Liability of control persons - §16612. Liability of control persons In an administrative action brought...

32 §16613. Administrative determination of abandonment - §16613. Administrative determination of abandonment A pending license application, registration...

Subchapter 7: TRANSITION

32 §16701. Effective date - §16701. Effective date This chapter takes effect December 31, 2005....

32 §16702. Application - §16702. Application The application of this chapter to existing proceedings...

Subchapter 8: PROTECTION OF VULNERABLE ADULTS FROM FINANCIAL EXPLOITATION

32 §16801. Definitions - §16801. Definitions As used in this subchapter, unless the context...

32 §16802. Governmental disclosures - §16802. Governmental disclosures If a qualified individual reasonably believes that...

32 §16803. Immunity for governmental disclosures - §16803. Immunity for governmental disclosures A qualified individual who in...

32 §16804. Third-party disclosures - §16804. Third-party disclosures If a qualified individual reasonably believes that...

32 §16805. Immunity for 3rd-party disclosures - §16805. Immunity for 3rd-party disclosures A qualified individual who in...

32 §16806. Delaying disbursements - §16806. Delaying disbursements A broker-dealer or investment adviser may delay...

32 §16807. Immunity for delaying disbursements - §16807. Immunity for delaying disbursements A broker-dealer or investment adviser...

32 §16808. Records - §16808. Records A broker-dealer or investment adviser shall provide access...

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Maine Revised Statutes TITLE 32: PROFESSIONS AND OCCUPATIONS Chapter 135: MAINE UNIFORM SECURITIES ACT

Maine Revised Statutes
TITLE 32: PROFESSIONS AND OCCUPATIONS
Chapter 135: MAINE UNIFORM SECURITIES ACT