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brokerage or investment advice or solicits, meets with or | otherwise communicates with customers or clients; or |
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| B.__Any other location that is held out to the general | public as a location at which the broker-dealer, investment | adviser or federal covered investment adviser provides | brokerage or investment advice or solicits, meets with or | otherwise communicates with customers or clients. |
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| | 22.__Predecessor act. "Predecessor act" means the former | Revised Maine Securities Act. |
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| | 23.__Price amendment. "Price amendment" means the amendment to | a registration statement filed under the federal Securities Act | of 1933 or, if an amendment is not filed, the prospectus or | prospectus supplement filed under the federal Securities Act of | 1933 that includes a statement of the offering price, | underwriting and selling discounts or commissions, amount of | proceeds, conversion rates, call prices and other matters | dependent upon the offering price. |
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| | 24.__Principal place of business. "Principal place of | business" of a broker-dealer, an investment adviser or an issuer | means the executive office of the broker-dealer, investment | adviser or issuer from which the officers, partners or managers | of the broker-dealer, investment adviser or issuer direct, | control and coordinate the activities of the broker-dealer, | investment adviser or issuer. |
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| | 25.__Record. "Record," except in the phrases "of record," | "official record" and "public record," means information that is | inscribed on a tangible medium or that is stored in an electronic | or other medium and is retrievable in perceivable form. |
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| | 26.__Sale; offer to sell. "Sale" includes every contract of | sale of, contract to sell or disposition of a security or | interest in a security for value.__"Offer to sell" includes every | attempt or offer to dispose of, or solicitation of an offer to | purchase, a security or interest in a security for value.__"Sale" | and "offer to sell" include: |
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| A.__The gift of or delivery of a security with, or as a | bonus on account of, a purchase of securities or any other | thing constituting part of the subject of the purchase and | having been offered and sold for value; |
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| B.__A gift of assessable stock involving an offer and sale; | and |
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