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U.S. State Codes
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Maine
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TITLE 32: PROFESSIONS AND O...
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Chapter 135: MAINE UNIFORM ...
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Subchapter 4: BROKER-DEALERS, AGENTS, INVESTMEN...
Subchapter 4: BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES AND FEDERAL COVERED INVESTMENT ADVISERS
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 or nonrenewal 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