Chapter 135: MAINE UNIFORM SECURITIES ACT
- 32 §16101. Short title
- 32 §16102. Definitions
- 32 §16103. References to federal statutes
- 32 §16104. References to federal agencies
- 32 §16105. Electronic records and signatures
- 32 §16201. Exempt securities
- 32 §16202. Exempt transactions
- 32 §16203. Additional exemptions and waivers
- 32 §16204. Denial, suspension, revocation, condition or limitation of exemptions
- 32 §16301. Securities registration requirement
- 32 §16302. Notice filing
- 32 §16303. Securities registration by coordination
- 32 §16304. Securities registration by qualification
- 32 §16305. Securities registration filings
- 32 §16306. Denial, suspension and revocation of securities registration
- 32 §16307. Waiver and modification
- 32 §16401. Broker-dealer licensing requirement and exemptions
- 32 §16402. Agent licensing requirement and exemptions
- 32 §16403. Investment adviser licensing requirement and exemptions
- 32 §16404. Investment adviser representative licensing requirement and exemptions
- 32 §16405. Federal covered investment adviser notice filing requirement
- 32 §16406. Licensing of broker-dealers, agents, investment advisers and investment adviser representatives
- 32 §16407. Succession and change in licensing of broker-dealer or investment adviser
- 32 §16408. Termination of employment or association of agent and investment adviser representative and transfer of employment or association
- 32 §16409. Withdrawal of licensing of broker-dealer, agent, investment adviser and investment adviser representative
- 32 §16410. Filing fees
- 32 §16411. Postlicensing requirements
- 32 §16412. Denial, revocation, suspension, withdrawal, restriction, condition or limitation of licensing
- 32 §16501. General fraud
- 32 §16502. Prohibited conduct in providing investment advice
- 32 §16503. Evidentiary burden
- 32 §16504. Filing of sales and advertising literature
- 32 §16505. Misleading filings
- 32 §16506. Misrepresentations concerning licensing, registration or exemption
- 32 §16507. Qualified immunity
- 32 §16508. Criminal penalties
- 32 §16509. Civil liability
- 32 §16510. Rescission offers
- 32 §16511. Right to rescission applicable to sales of viatical or life settlement contracts
- 32 §16601. Administration
- 32 §16602. Investigations and subpoenas
- 32 §16603. Civil enforcement
- 32 §16604. Administrative enforcement
- 32 §16605. Rules, forms, orders, interpretative opinions and hearings
- 32 §16606. Administrative files and opinions
- 32 §16607. Public records; confidentiality
- 32 §16608. Uniformity and cooperation with other agencies
- 32 §16609. Judicial review
- 32 §16610. Jurisdiction
- 32 §16611. Service of process
- 32 §16612. Liability of control persons
- 32 §16613. Administrative determination of abandonment
- 32 §16701. Effective date
- 32 §16702. Application