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Office of Securities Rules

The rules listed below, unless otherwise noted, are Word documents.

Chapter 504: Broker-Dealer and Agent Licensing

Chapter 506: Financial Institutions and Broker-Dealers Engaging in Third Party Brokerage Arrangements

Chapter 507: Licensing Exemption for Certain Foreign Broker-Dealers

Chapter 510: Broker-Dealers, Investment Advisers, and Others Using the Internet for General Dissemination of Information About Securities Products and Services.

Chapter 511: Change of Ownership or Control of a Broker-Dealer or Investment Adviser

Chapter 512: Prohibition Against Use of Misleading Senior Designations

Chapter 515: Investment Adviser Licensing

Chapter 516: Definition of Client for Purposes of Investment Adviser Licensing and Notice Filing by Federal Covered Investment Advisers

Chapter 525: Rule Regarding Small Company Offering Registrations

Chapter 532: Securities Offerings on the Internet

Chapter 533: Maine Issuer Notification of Exemption Form

Chapter 534: Limited Private Offering Exemptions; Purchasers Present in this State and Single Issue

Chapter 536: Securities Manuals

Chapter 537: Exemption for Offers and Sales to Accredited Investors

Chapter 538: Exemption for Offers and Sales to the Finance Authority of Maine

Chapter 539: Offers and Sales of Viatical or Life Settlement Contracts

Chapter 540: Adjudicatory Proceedings Rule

Chapter 541: Initial and Annual Renewal Fees

Chapter 542: Model Rescission Offer Forms

Last Updated: June 17, 2013