reglab/housing_qa huggingface dataset:
32 ME Rev Stat § 14709 (2021)
2021 Maine Revised Statutes|TITLE 32: PROFESSIONS AND OCCUPATIONS|Chapter 128: REGULATION OF TRANSIENT SALES|Subchapter 2: TRANSIENT SELLERS OF CONSUMER MERCHANDISE|32 §14709. Waiver of security deposit

 §14709. Waiver of security deposit Transient sellers of consumer merchandise may apply to the department for waiver of the security deposit required by section 14708 by presenting to the authorized person within the department the following information in addition to the information required under section 14706:   [PL 2001, c. 324, §12 (NEW).]1.  Consumer sales.  A sworn statement by the applicant that the applicant has continuously engaged in consumer sales in this State for a period not less than 3 years;   [PL 2001, c. 324, §12 (NEW).] 2.  Theft offenses; fraudulent or deceptive business practice.  A sworn statement by the applicant that neither the applicant nor any employee of the applicant operating in this State has been convicted of any theft offense or fraudulent or deceptive business practice in any United States' jurisdiction;   [PL 2001, c. 324, §12 (NEW).] 3.  Complaints on file against applicant.  A letter from the Attorney General's office in the state where the applicant has its principal place of business stating the nature or absence thereof of complaints on file against the applicant; and   [PL 2001, c. 324, §12 (NEW).] 4.  Letter of recommendation.  A letter of recommendation from an appropriate trade association that promotes sound and ethical trade practices and the processing of consumer complaints that states the applicant is a member in good standing of that association.   [PL 2001, c. 324, §12 (NEW).] The authorized person within the department shall forward the completed application for waiver of the security deposit to the Office of the Attorney General for review and shall within 15 days of receipt of the completed application and with the advice of the Attorney General grant or deny the application for waiver.   [PL 2001, c. 324, §12 (NEW).]SECTION HISTORY PL 2001, c. 324, §12 (NEW).
32 ME Rev Stat § 14710 (2021)
2021 Maine Revised Statutes|TITLE 32: PROFESSIONS AND OCCUPATIONS|Chapter 128: REGULATION OF TRANSIENT SALES|Subchapter 2: TRANSIENT SELLERS OF CONSUMER MERCHANDISE|32 §14710. Revocation of right to waive security deposit

 §14710. Revocation of right to waive security deposit The authorized person within the department shall rescind the right of a transient seller of consumer merchandise to waive a security deposit upon occurrence of any of the following:   [PL 2001, c. 324, §12 (NEW).]1.  Conviction for theft or fraudulent business practices.  The transient seller of consumer merchandise or any employee is convicted of a theft offense or fraudulent or deceptive business practice;   [PL 2001, c. 324, §12 (NEW).] 2.  Failure to defend action under Title 5, chapter 10.  The transient seller of consumer merchandise or any employee fails to successfully defend any action brought against it under Title 5, chapter 10; or   [PL 2001, c. 324, §12 (NEW).] 3.  Failure to negotiate consumer complaints.  The transient seller of consumer merchandise or any employee fails to negotiate consumer complaints filed against it with the Attorney General.   [PL 2001, c. 324, §12 (NEW).] SECTION HISTORY PL 2001, c. 324, §12 (NEW).
32 ME Rev Stat § 14711 (2021)
2021 Maine Revised Statutes|TITLE 32: PROFESSIONS AND OCCUPATIONS|Chapter 128: REGULATION OF TRANSIENT SALES|Subchapter 2: TRANSIENT SELLERS OF CONSUMER MERCHANDISE|32 §14711. Expiration

 §14711. Expiration 1.  Licenses.  Licenses issued under section 14703 expire:   A. On the date that the licensee establishes a permanent place of business and surrenders the licensee's license to the department;   [PL 2007, c. 402, Pt. KK, §18 (AMD).]B. When the licensee fails to file a renewal application as required by section 14707; or   [PL 2007, c. 402, Pt. KK, §18 (AMD).]C. Upon the surrender of the license for cancellation.   [PL 2007, c. 402, Pt. KK, §18 (AMD).][PL 2007, c. 402, Pt. KK, §18 (AMD).] SECTION HISTORY PL 2001, c. 324, §12 (NEW). PL 2007, c. 402, Pt. KK, §18 (AMD).
32 ME Rev Stat § 14712 (2021)
2021 Maine Revised Statutes|TITLE 32: PROFESSIONS AND OCCUPATIONS|Chapter 128: REGULATION OF TRANSIENT SALES|Subchapter 2: TRANSIENT SELLERS OF CONSUMER MERCHANDISE|32 §14712. Security deposit subject to claims; order of preference; return of security deposit

 §14712. Security deposit subject to claims; order of preference; return of security deposit Each security deposit made under section 14708 is subject, as long as it remains in the hands of the department, to the attachment and execution in behalf of consumers whose claims arise in connection with the transient sale of consumer merchandise in this State. The department may be impleaded as a trustee in any civil action brought against any licensee and shall pay over, under order of court, such sum of money as the department may be found chargeable. The security deposit is subject to the payment of any fines and penalties incurred by the licensee through any of the provisions of this subchapter, and the clerk of the court in which that fine or penalty is imposed shall notify the department of the name of the licensee against whom that fine or penalty is adjudged and of the amount of that fine or penalty. The department, if it has in its possession a sufficient sum deposited by that licensee, shall pay the sum so specified to the clerk. If the department does not have a sufficient sum so deposited, it shall make payment of as much as it has in its possession. All claims upon the deposit must be satisfied after judgment, fine and penalty, in the order in which the order of court is entered in the respective suits, until all claims are satisfied or the security deposit is exhausted. A security deposit may not be paid over by the department to a licensee as long as there are any outstanding claims or notices of claims that are subject of suit against the licensee, in which case the department shall retain only such sum of the security deposit as is subject of claim.   [PL 2007, c. 402, Pt. KK, §19 (AMD).]The security deposit required under section 14708 must be returned to the person so designated pursuant to section 14706, subsection 5 in the licensee's application for licensure made under section 14702 12 months following the expiration of the license.   [PL 2007, c. 402, Pt. KK, §19 (AMD).]SECTION HISTORY PL 2001, c. 324, §12 (NEW). PL 2007, c. 402, Pt. KK, §19 (AMD).
32 ME Rev Stat § 14713 (2021)
2021 Maine Revised Statutes|TITLE 32: PROFESSIONS AND OCCUPATIONS|Chapter 128: REGULATION OF TRANSIENT SALES|Subchapter 2: TRANSIENT SELLERS OF CONSUMER MERCHANDISE|32 §14713. Violations; unfair trade practice

 §14713. Violations; unfair trade practice 1.  Criminal penalty.   [PL 2003, c. 452, Pt. R, §17 (RP); PL 2003, c. 452, Pt. X, §2 (AFF).] 2.  Unfair trade practice.  A person who fails to comply with this subchapter commits a violation of Title 5, chapter 10.   [PL 2001, c. 324, §12 (NEW).] SECTION HISTORY PL 2001, c. 324, §12 (NEW). PL 2003, c. 452, §R17 (AMD). PL 2003, c. 452, §X2 (AFF).
32 ME Rev Stat § 14714 (2021)
2021 Maine Revised Statutes|TITLE 32: PROFESSIONS AND OCCUPATIONS|Chapter 128: REGULATION OF TRANSIENT SALES|Subchapter 2: TRANSIENT SELLERS OF CONSUMER MERCHANDISE|32 §14714. Service of process (REPEALED)

 §14714. Service of process (REPEALED)SECTION HISTORY PL 2001, c. 324, §12 (NEW). PL 2013, c. 217, Pt. K, §13 (RP).
32 ME Rev Stat § 14715 (2021)
2021 Maine Revised Statutes|TITLE 32: PROFESSIONS AND OCCUPATIONS|Chapter 128: REGULATION OF TRANSIENT SALES|Subchapter 2: TRANSIENT SELLERS OF CONSUMER MERCHANDISE|32 §14715. Denial or refusal to renew license; disciplinary action

 §14715. Denial or refusal to renew license; disciplinary action In addition to the grounds enumerated in Title 10, section 8003, subsection 5-A, paragraph A, the department may deny a license, refuse to renew a license or impose the disciplinary sanctions authorized by Title 10, section 8003, subsection 5-A for:   [PL 2007, c. 402, Pt. KK, §20 (NEW).]1.  Misrepresentations.  Misrepresentation of any material fact relating to the terms or conditions of sale;   [PL 2007, c. 402, Pt. KK, §20 (RPR).] 2.  False impressions.  Creation of an impression that is false or that the transient seller of consumer merchandise does not believe to be true; or   [PL 2007, c. 402, Pt. KK, §20 (RPR).] 3.  False promises.  Promising of performance that the transient seller of consumer merchandise does not intend to perform or believes will not be performed.   [PL 2007, c. 402, Pt. KK, §20 (RPR).] SECTION HISTORY PL 2001, c. 324, §12 (NEW). PL 2007, c. 402, Pt. KK, §20 (RPR).
32 ME Rev Stat § 14716 (2021)
2021 Maine Revised Statutes|TITLE 32: PROFESSIONS AND OCCUPATIONS|Chapter 128: REGULATION OF TRANSIENT SALES|Subchapter 2: TRANSIENT SELLERS OF CONSUMER MERCHANDISE|32 §14716. Telemarketers

 §14716. Telemarketers 1.  Incorporation of federal standards.  Violation of any provision of the Federal Trade Commission's Telemarketing Sales Rule, 16 Code of Federal Regulations, Part 310, as in effect on January 1, 2000, by a transient seller of consumer merchandise is a violation of this subchapter.   [PL 2001, c. 324, §12 (NEW).] 2.  Additional prohibitions.  A transient seller of consumer merchandise who is a telemarketer, as defined in the Federal Trade Commission's Telemarketing Sales Rule, 16 Code of Federal Regulations, Section 310.2, as in effect on January 1, 2000, and who initiates telephone contact with a consumer may not procure the services of any professional delivery courier or other pick-up service to obtain immediate receipt or possession of a consumer's payment, unless the goods are delivered with the opportunity to inspect before any payment is collected.   [PL 2001, c. 324, §12 (NEW).] 3.  Do-not-call list.   [PL 2007, c. 227, §3 (RP).] 4.  Other applicable law.  A transient seller of consumer merchandise who is a telemarketer, as defined in the Federal Trade Commission's Telemarketing Sales Rule, 16 Code of Federal Regulations, Section 310.2, as in effect on January 1, 2000, is subject to and shall comply with the provisions of chapter 69, subchapter V.   [PL 2001, c. 324, §12 (NEW).] SECTION HISTORY PL 2001, c. 324, §12 (NEW). PL 2007, c. 227, §3 (AMD).
32 ME Rev Stat § 16101 (2021)
2021 Maine Revised Statutes|TITLE 32: PROFESSIONS AND OCCUPATIONS|Chapter 135: MAINE UNIFORM SECURITIES ACT|Subchapter 1: GENERAL PROVISIONS|32 §16101. Short title

 §16101. Short title This chapter may be known and cited as "the Maine Uniform Securities Act."   [PL 2005, c. 65, Pt. A, §2 (NEW).]SECTION HISTORY PL 2005, c. 65, §A2 (NEW).
32 ME Rev Stat § 16103 (2021)
2021 Maine Revised Statutes|TITLE 32: PROFESSIONS AND OCCUPATIONS|Chapter 135: MAINE UNIFORM SECURITIES ACT|Subchapter 1: GENERAL PROVISIONS|32 §16103. References to federal statutes

 §16103. References to federal statutes Securities Act of 1933, 15 United States Code, Section 77a et seq., Securities Exchange Act of 1934, 15 United States Code, Section 78a et seq., Public Utility Holding Company Act of 1935, 15 United States Code, Section 79 et seq., Investment Company Act of 1940, 15 United States Code, Section 80a-1 et seq., Investment Advisers Act of 1940, 15 United States Code, Section 80b-1 et seq., Employee Retirement Income Security Act of 1974, 29 United States Code, Section 1001 et seq., National Housing Act, 12 United States Code, Section 1701 et seq., Commodity Exchange Act, 7 United States Code, Section 1 et seq., Internal Revenue Code, 26 United States Code, Section 1 et seq., Securities Investor Protection Act of 1970, 15 United States Code, Section 78aaa et seq., Securities Litigation Uniform Standards Act of 1998, 112 Stat. 3227, Small Business Investment Act of 1958, 15 United States Code, Section 661 et seq. and Electronic Signatures in Global and National Commerce Act, 15 United States Code, Section 7001 et seq. mean those federal laws of those names, those statutes and the rules and regulations adopted under those laws and statutes, as amended, as of December 31, 2006.   [PL 2007, c. 14, §1 (AMD).]SECTION HISTORY PL 2005, c. 65, §A2 (NEW). PL 2007, c. 14, §1 (AMD).
32 ME Rev Stat § 16104 (2021)
2021 Maine Revised Statutes|TITLE 32: PROFESSIONS AND OCCUPATIONS|Chapter 135: MAINE UNIFORM SECURITIES ACT|Subchapter 1: GENERAL PROVISIONS|32 §16104. References to federal agencies

 §16104. References to federal agencies A reference in this chapter to an agency or department of the United States is also a reference to a successor agency or department.   [PL 2005, c. 65, Pt. A, §2 (NEW).]SECTION HISTORY PL 2005, c. 65, §A2 (NEW).
32 ME Rev Stat § 16105 (2021)
2021 Maine Revised Statutes|TITLE 32: PROFESSIONS AND OCCUPATIONS|Chapter 135: MAINE UNIFORM SECURITIES ACT|Subchapter 1: GENERAL PROVISIONS|32 §16105. Electronic records and signatures

 §16105. Electronic records and signatures This chapter modifies, limits and supersedes the federal Electronic Signatures in Global and National Commerce Act, but does not modify, limit or supersede Section 101(c) of that Act, 15 United States Code, Section 7001(c) or authorize electronic delivery of any of the notices described in Section 103(b) of that Act, 15 United States Code, Section 7003(b). This chapter authorizes the filing of records and signatures, when specified by provisions of this chapter or by a rule adopted or order issued under this chapter, in a manner consistent with Section 104(a) of that Act, 15 United States Code, Section 7004(a). Rules adopted under this section are routine technical rules as defined in Title 5, chapter 375, subchapter 2-A.   [PL 2005, c. 65, Pt. A, §2 (NEW).]SECTION HISTORY PL 2005, c. 65, §A2 (NEW).
32 ME Rev Stat § 16203 (2021)
2021 Maine Revised Statutes|TITLE 32: PROFESSIONS AND OCCUPATIONS|Chapter 135: MAINE UNIFORM SECURITIES ACT|Subchapter 2: EXEMPTIONS FROM REGISTRATION OF SECURITIES|32 §16203. Additional exemptions and waivers

 §16203. Additional exemptions and waivers If the administrator finds that it is consistent with the public interest and the protection of investors, a rule adopted or order issued under this chapter may: exempt a security, transaction or offer; exempt a class of securities, transactions or offers from any or all of the requirements of sections 16301 to 16306 and 16504; and waive, in whole or in part, any or all of the conditions for an exemption or offer under sections 16201 and 16202. In any rule or order establishing an exemption for which a filing is required, the administrator may provide for a nonrefundable filing fee not to exceed $500. Rules adopted pursuant to this section are routine technical rules as defined in Title 5, chapter 375, subchapter 2-A.   [PL 2005, c. 65, Pt. A, §2 (NEW).]SECTION HISTORY PL 2005, c. 65, §A2 (NEW).
32 ME Rev Stat § 16204 (2021)
2021 Maine Revised Statutes|TITLE 32: PROFESSIONS AND OCCUPATIONS|Chapter 135: MAINE UNIFORM SECURITIES ACT|Subchapter 2: EXEMPTIONS FROM REGISTRATION OF SECURITIES|32 §16204. Denial, suspension, revocation, condition or limitation of exemptions

 §16204. Denial, suspension, revocation, condition or limitation of exemptions 1.  Enforcement related powers.  Notwithstanding the Maine Administrative Procedure Act, an order under this chapter may deny, suspend application of, condition, limit or revoke an exemption created under section 16201, subsection 3, paragraph C, section 16201, subsection 7 or 8 or section 16202 or an exemption or waiver created under section 16203 with respect to a specific security, transaction or offer if the administrator finds that the order is consistent with the public interest and the protection of the public. An order under this section may be issued only pursuant to the procedures in section 16306, subsection 4 or section 16604 and only prospectively.   [PL 2005, c. 65, Pt. A, §2 (NEW).] 2.  Knowledge of order required.  A person does not violate section 16301, sections 16303 to 16306, section 16504 or section 16510 by an offer to sell, offer to purchase, sale or purchase effected after the entry of an order issued under this section if the person did not know, and in the exercise of reasonable care could not have known, of the order.   [PL 2005, c. 65, Pt. A, §2 (NEW).] SECTION HISTORY PL 2005, c. 65, §A2 (NEW).
32 ME Rev Stat § 16301 (2021)
2021 Maine Revised Statutes|TITLE 32: PROFESSIONS AND OCCUPATIONS|Chapter 135: MAINE UNIFORM SECURITIES ACT|Subchapter 3: REGISTRATION OF SECURITIES AND NOTICE FILING OF FEDERAL COVERED SECURITIES|32 §16301. Securities registration requirement

 §16301. Securities registration requirement It is unlawful for a person to offer or sell a security in this State unless:   [PL 2005, c. 65, Pt. A, §2 (NEW).]1.  Federal covered security.  The security is a federal covered security;   [PL 2005, c. 65, Pt. A, §2 (NEW).] 2.  Exempt from registration.  The security, transaction or offer is exempted from registration under sections 16201 to 16203; or   [PL 2005, c. 65, Pt. A, §2 (NEW).] 3.  Registered.  The security is registered under this chapter.   [PL 2005, c. 65, Pt. A, §2 (NEW).] SECTION HISTORY PL 2005, c. 65, §A2 (NEW).
32 ME Rev Stat § 16307 (2021)
2021 Maine Revised Statutes|TITLE 32: PROFESSIONS AND OCCUPATIONS|Chapter 135: MAINE UNIFORM SECURITIES ACT|Subchapter 3: REGISTRATION OF SECURITIES AND NOTICE FILING OF FEDERAL COVERED SECURITIES|32 §16307. Waiver and modification

 §16307. Waiver and modification By rule issued or order adopted under this chapter, the administrator may waive or modify, in whole or in part, any or all of the requirements of sections 16302, 16303, and 16304 or the requirement of any information or record in a registration statement or in a periodic report filed pursuant to section 16305, subsection 9. Rules adopted pursuant to this section are routine technical rules as defined in Title 5, chapter 375, subchapter 2-A.   [PL 2005, c. 65, Pt. A, §2 (NEW).]SECTION HISTORY PL 2005, c. 65, §A2 (NEW).
32 ME Rev Stat § 16405 (2021)
2021 Maine Revised Statutes|TITLE 32: PROFESSIONS AND OCCUPATIONS|Chapter 135: MAINE UNIFORM SECURITIES ACT|Subchapter 4: BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES AND FEDERAL COVERED INVESTMENT ADVISERS|32 §16405. Federal covered investment adviser notice filing requirement

 §16405. Federal covered investment adviser notice filing requirement 1.  Notice filing requirement.  Except with respect to a federal covered investment adviser described in subsection 2, it is unlawful for a federal covered investment adviser to transact business in this State as a federal covered investment adviser unless the federal covered investment adviser complies with subsection 3.   [PL 2005, c. 65, Pt. A, §2 (NEW).] 2.  Notice filing requirement not required.  The following federal covered investment advisers are not required to comply with subsection 3:   A. A federal covered investment adviser without a place of business in this State if its only clients in this State are:   (1) Federal covered investment advisers, investment advisers licensed under this chapter and broker-dealers licensed under this chapter;   (2) Institutional investors;   (3) Bona fide preexisting clients whose principal places of residence are not in this State; or   (4) Other clients specified by rule adopted or order issued under this chapter;   [PL 2005, c. 65, Pt. A, §2 (NEW).]B. A federal covered investment adviser without a place of business in this State if the person has had, during the preceding 12 months, not more than 5 clients that are resident in this State in addition to those specified under paragraph A; and   [PL 2005, c. 65, Pt. A, §2 (NEW).]C. Any other person excluded by rule adopted or order issued under this chapter.   [PL 2005, c. 65, Pt. A, §2 (NEW).][PL 2005, c. 65, Pt. A, §2 (NEW).] 3.  Notice filing procedure.  A person acting as a federal covered investment adviser that is not excluded under subsection 2 shall file a notice, a consent to service of process complying with section 16611, and such records as have been filed with the Securities and Exchange Commission under the federal Investment Advisers Act of 1940 and pay the fees specified in section 16410, subsection 1, paragraph E.   [PL 2005, c. 65, Pt. A, §2 (NEW).] 4.  Effectiveness of filing.  The notice under subsection 3 becomes effective upon its filing.   [PL 2005, c. 65, Pt. A, §2 (NEW).] 5.  Rulemaking.  Rules adopted pursuant to this section are routine technical rules as defined in Title 5, chapter 375, subchapter 2-A.   [PL 2005, c. 65, Pt. A, §2 (NEW).] SECTION HISTORY PL 2005, c. 65, §A2 (NEW).
32 ME Rev Stat § 16406 (2021)
2021 Maine Revised Statutes|TITLE 32: PROFESSIONS AND OCCUPATIONS|Chapter 135: MAINE UNIFORM SECURITIES ACT|Subchapter 4: BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES AND FEDERAL COVERED INVESTMENT ADVISERS|32 §16406. Licensing of broker-dealers, agents, investment advisers and investment adviser representatives

 §16406. Licensing of broker-dealers, agents, investment advisers and investment adviser representatives 1.  Application for initial license.  A person becomes licensed as a broker-dealer, agent, investment adviser or investment adviser representative by filing an application and a consent to service of process complying with section 16611 and paying the fee specified in section 16410 and any fees charged by the designee of the administrator for processing the filing. The application must contain:   A. The information or record required for the filing of a uniform application; and   [PL 2005, c. 65, Pt. A, §2 (NEW).]B. Upon request by the administrator, any other financial or other information or record that the administrator determines is appropriate.   [PL 2005, c. 65, Pt. A, §2 (NEW).][PL 2005, c. 65, Pt. A, §2 (NEW).] 2.  Amendment.  If the information or record contained in an application filed under subsection 1 is or becomes inaccurate or incomplete in a material respect, the licensee shall promptly file a correcting amendment.   [PL 2005, c. 65, Pt. A, §2 (NEW).] 3.  Effectiveness of licensing.  If an order is not in effect and a proceeding is not pending under section 16412, a license becomes effective no later than noon on the 45th day after a completed application is filed, provided that all examination and training requirements imposed under section 16412, subsection 5 have been satisfied and provided that the license has not been denied. The administrator may authorize an earlier effective date of licensing.   [PL 2005, c. 65, Pt. A, §2 (NEW).] 4.  License renewal.  A license is effective until midnight on December 31st of the year for which the application for licensing is filed. Unless an order is in effect under section 16412, a license may be automatically renewed each year by filing such records as are required by the administrator, by paying the fee specified in section 16410 and by paying costs charged by the designee of the administrator for processing the filings.   [PL 2005, c. 65, Pt. A, §2 (NEW).] 5.  Additional conditions or waivers.  A rule adopted or order issued under this chapter may impose other conditions on licensing or may waive, in whole or in part, specific requirements in connection with licensing as are in the public interest and for the protection of investors. Rules adopted pursuant to this section are routine technical rules as defined in Title 5, chapter 375, subchapter 2-A.   [PL 2005, c. 65, Pt. A, §2 (NEW).] SECTION HISTORY PL 2005, c. 65, §A2 (NEW).