LD 509
pg. 18
Page 17 of 183 An Act To Adopt the Maine Uniform Securities Act Page 19 of 183
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LR 441
Item 1

 
brokerage or investment advice or solicits, meets with or
otherwise communicates with customers or clients; or

 
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.

 
22.__Predecessor act. "Predecessor act" means the former
Revised Maine Securities Act.

 
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.

 
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.

 
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.

 
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:

 
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;

 
B.__A gift of assessable stock involving an offer and sale;
and


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