Title 32, Chapter 105: REVISED MAINE SECURITIES ACT

Title 32, Chapter 105: REVISED MAINE SECURITIES ACT

Subchapter 1: OFFICE OF SECURITIES AND SECURITIES ADMINISTRATOR

32 §10101. Short title (REPEALED)

32 §10102. Office of Securities (REPEALED)

32 §10103. Administrator and other personnel (REPEALED)

Subchapter 2: FRAUDULENT AND OTHER PROHIBITED PRACTICES

32 §10201. Offers, sales and purchases (REPEALED)

32 §10202. Market manipulation (REPEALED)

32 §10203. Prohibited actions by investment advisers (REPEALED)

32 §10204. Misleading filings (REPEALED)

32 §10205. Unlawful representations concerning licensing, registration or exemption (REPEALED)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 Broker-dealer and sales representative licensing requirement (REPEALED)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 Exempt broker-dealers and sales representatives (REPEALED)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 Investment adviser and investment adviser representative licensing requirement (REPEALED)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 Exempt investment advisers (REPEALED)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 Application (REPEALED)

32 §10305-A. Notice filing (REPEALED)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 §10306. Fees (REPEALED)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 Examinations (REPEALED)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 Licensing (REPEALED)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 Annual report and fee (REPEALED)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 Post-licensing requirements (REPEALED)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 Successor firms (REPEALED)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 Inspection power (REPEALED)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 Grounds for denial, suspension, revocation, cancellation and withdrawal (REPEALED)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 Custody of clients' securities and funds (REPEALED)

Subchapter 4: REGISTRATION OF SECURITIES

32 §10401. Registration requirement (REPEALED)

32 §10402. Registration by notification (REPEALED)

32 §10403. Registration by coordination (REPEALED)

32 §10404. Registration by qualification (REPEALED)

32 §10405. Provisions applicable to registration generally (REPEALED)

32 §10406. Denial, suspension and revocation of registration (REPEALED)

Subchapter 5: GENERAL PROVISIONS

32 §10501. Definitions (REPEALED)

32 §10502. Exemptions (REPEALED)

32 §10503. Filing of sales and advertising literature (REPEALED)

32 §10504. Filing of sales and advertising literature (REPEALED)

32 §10505. Federal covered securities (REPEALED)

Subchapter 6: ENFORCEMENT AND CIVIL LIABILITY

32 §10601. Investigations (REPEALED)

32 §10602. Enforcement of Act (REPEALED)

32 §10603. Power of court to grant relief (REPEALED)

32 §10604. Criminal penalties (REPEALED)

32 §10605. Civil liability (REPEALED)

32 §10606. Civil statute of limitations (REPEALED)

32 §10607. Rescission and settlement offers (REPEALED)

32 §10607-A. Right to rescission applicable to sales of viatical settlement contracts (REPEALED)

32 §10608. Miscellaneous provisions (REPEALED)

Subchapter 7: ADMINISTRATION

32 §10701. Administration of Act (REPEALED)

32 §10702. Cooperation with other agencies (REPEALED)

32 §10703. General authority to adopt rules, forms and orders (REPEALED)

32 §10704. Consent to service of process (REPEALED)

32 §10705. Advisory rulings; declaratory rulings (REPEALED)

32 §10706. Administrative files (REPEALED)

32 §10707. Scope of the Act (REPEALED)

32 §10708. Procedure for entry of an order (REPEALED)

32 §10709. Judicial review of orders (REPEALED)

32 §10710. Repeal and saving provisions (REPEALED)

32 §10711. Acts of Superintendent of Financial Institutions (REPEALED)

32 §10712. Authority to change fees (REPEALED)

32 §10713. Operating fund (REPEALED)

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Office of the Revisor of Statutes · 7 State House Station · State House Room 108 · Augusta, Maine 04333-0007

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