Source: http://www.maine.gov/sos/cec/rules/agendas/agenda04/02-032.htm
Timestamp: 2013-12-06 02:18:27
Document Index: 233946939

Matched Legal Cases: ['§10703', '§10703', '§10302', '§10703', '§10305', '§10404', '§10502', '§10502', '§10302', '§10302', '§10502', '§10312', '§10307', '§10703', '§10703', '§10502', '§10313', '§10607', '§9001', '§10502', '§10602', '§10712']

2003-4 Regulatory Agenda (Rules) - Office of Securities - State of Maine - USA
Office of Securities 2003-2004 Regulatory Agenda AGENCY UMBRELLA UNIT NUMBER: 02-032
AGENCY NAME: Department of Professional and Financial Regulation, Office of Securities
CONTACT PERSON: Christine Bruenn, Securities Administrator, 121 State House Station, Augusta, ME 04333-0121. Tel: (207) 624-8551. E-mail: christine.a.bruenn@maine.gov
CHAPTER 505: General Definitions STATUTORY AUTHORITY: 32 MRSA §10703
ANTICIPATED SCHEDULE: Prior to 10/2004
AFFECTED PARTIES: All persons with reason to construe any of the rules issued by the Office of Securities. CONSENSUS-BASED RULE DEVELOPMENT: Not expected
STATUTORY AUTHORITY: 32 MRSA §10703
CHAPTER 507: Licensing Exemption for Certain Canadian Broker-Dealers STATUTORY AUTHORITY: 32 MRSA §§10302(1)(D), 10502(3), 10703
CHAPTER 510: Broker-Dealers, Investment Advisers, and Others Using the Internet for General Dissemination of Information about Securities Products and Services STATUTORY AUTHORITY: 32 MRSA §10703
STATUTORY AUTHORITY: 32 MRSA §§10305, 10703
AFFECTED PARTIES: Investment advisers and persons representing investment advisers.
CHAPTER 525: Rule Regarding Small Company Offering Registrations STATUTORY AUTHORITY: 32 MRSA §§10404(5), 10405(9), 10703
CHAPTER 532: Securities Offerings on the Internet STATUTORY AUTHORITY: 32 MRSA §10502(3)
STATUTORY AUTHORITY: 32 MRSA §10502(3), 10703
CHAPTER 537: Exemption for Offers and Sales to Accredited Investors STATUTORY AUTHORITY: 32 MRSA §§10302(2)(E), 10502(3), 10703
STATUTORY AUTHORITY: 32 MRSA §§10302(2)(E), 10502(3), 10703
STATUTORY AUTHORITY: 32 MRSA §10502(2)(S), 10703
CHAPTER 540: Adjudicatory Proceedings Rule
STATUTORY AUTHORITY: 32 MRSA §§10312, 10703
STATUTORY AUTHORITY: 32 MRSA §§10307, 10703
STATUTORY AUTHORITY: 32 MRSA §10703 PURPOSE: Rule requiring the retention of offering materials by issuers selling securities in Maine. ANTICIPATED SCHEDULE: Prior to 10/2004
STATUTORY AUTHORITY: 32 MRSA §§10703, 10704 PURPOSE: Rule to provide an exemption from the requirement to file a consent to service of process for Maine entities that have previously designated the Secretary of State as their agent.
STATUTORY AUTHORITY: 32 MRSA §§10502(3), 10703 PURPOSE: Rule providing an exemption from registration for offers of a security made by an issuer for the sole purpose of soliciting an indication of interest in receiving a prospectus for the security. ANTICIPATED SCHEDULE: Prior to 10/2004
PURPOSE: To define reasonable supervision as that term is used in 32 MRSA §10313(G).
STATUTORY AUTHORITY: 32 MRSA §§10607(3), 10703
PURPOSE: Rule to provide information to securities issuers seeking to register or qualify for an exemption in Maine outlining the requirements for securities registration or exemption filings. ANTICIPATED SCHEDULE: Prior to 10/2004
STATUTORY AUTHORITY: 5 MRSA §9001(3)
PURPOSE: Rule to define the term commercial paper as that term is used in 32 MRSA §10502 (1)(K).
PURPOSE: To define the term "associated with" as used in 32 MRSA §10602(1)(C).
STATUTORY AUTHORITY: 32 MRSA §10712
AFFECTED PARTIES: Broker-dealers and sales representatives who pay annual license renewal fees. CONSENSUS-BASED RULE DEVELOPMENT: Not expected