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Broker-dealers, Agents, Investment Advisers, Investment Adviser Representatives and Federal Covered Investment Advisers | Midpage
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Maine Revised Statutes
Title 32
Chapter 135
4
Broker-dealers, Agents, Investment Advisers, Investment Adviser Representatives and Federal Covered Investment Advisers
16401
Broker-dealer licensing requirement and exemptions
16402
Agent licensing requirement and exemptions
16403
Investment adviser licensing requirement and exemptions
16404
Investment adviser representative licensing requirement and exemptions
16405
Federal covered investment adviser notice filing requirement
16406
Licensing of broker-dealers, agents, investment advisers and investment adviser representatives
16407
Succession and change in licensing of broker-dealer or investment adviser
16408
Termination of employment or association of agent and investment adviser representative and transfer of employment or association
16409
Withdrawal or nonrenewal of licensing of broker-dealer, agent, investment adviser and investment adviser representative
16410
Filing fees
16411
Postlicensing requirements
16412
Denial, revocation, suspension, withdrawal, restriction, condition or limitation of licensing