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Title 32, Chapter 135: MAINE UNIFORM SECURITIES ACT
Subchapter 1: GENERAL PROVISIONS
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
Subchapter 2: EXEMPTIONS FROM REGISTRATION OF SECURITIES
32 §16201. Exempt securities
32 §16202. Exempt transactions
32 §16203. Additional exemptions and waivers
32 §16204. Denial, suspension, revocation, condition or limitation of exemptions
Subchapter 3: REGISTRATION OF SECURITIES AND NOTICE FILING OF FEDERAL COVERED SECURITIES
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
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
Subchapter 5: FRAUD AND LIABILITIES
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
Subchapter 5-A: SECURITIES RESTITUTION ASSISTANCE FUND
32 §16521. Definitions
32 §16522. Securities Restitution Assistance Fund
32 §16523. Claims
32 §16524. Confidentiality of personal information
32 §16525. Payment of restitution assistance; limits
32 §16526. Conditions under which award of restitution assistance prohibited
32 §16527. Final order overturned; recovery of restitution assistance
32 §16528. Award not subject to execution, attachment, garnishment or other process
32 §16529. Claimant convicted of forgery, fraud, deception or falsification forfeits restitution assistance award; recovery
32 §16530. Rights of State
32 §16531. Refund of excess award
32 §16532. Return of recovered money to fund
32 §16533. Suspension of payment
32 §16534. Rulemaking
Subchapter 6: ADMINISTRATION AND JUDICIAL REVIEW
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
Subchapter 7: TRANSITION
32 §16701. Effective date
32 §16702. Application
Subchapter 8: PROTECTION OF VULNERABLE ADULTS FROM FINANCIAL EXPLOITATION
32 §16801. Definitions
32 §16802. Governmental disclosures
32 §16803. Immunity for governmental disclosures
32 §16804. Third-party disclosures
32 §16805. Immunity for 3rd-party disclosures
32 §16806. Delaying disbursements
32 §16807. Immunity for delaying disbursements
32 §16808. Records
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