Sec. D-1. 32 MRSA §10313, sub-§1, ¶J, as enacted by PL 1985, c. 400, §2, is amended to read:
J. Has failed reasonably to supervise sales representatives if a broker-dealer, or employees if an investment adviser; or
Sec. D-2. 32 MRSA §10313, sub-§1, ¶K, as amended by PL 1989, c. 542, §25, is further amended to read:
K. Has failed to pay the proper filing fee, but the administrator shall vacate any order under this paragraph when the deficiency has been corrected.; or
Sec. D-3. 32 MRSA §10313, sub-§1, ¶L is enacted to read:
L. Has failed to comply with the privacy provisions of the federal Gramm-Leach-Bliley Act, 15 United States Code, Section 6801 et seq. (1999) and the implementing Regulation S-P, federal Privacy of Consumer Financial Information, 17 Code of Federal Regulations, Part 248 (2001) adopted by the United States Securities and Exchange Commission. This paragraph is not intended to permit the release of health care information except as permitted by Title 22, section 1711-C or Title 24-A, chapter 24.
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