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2010-2011 REGULATORY AGENDA

 

July 21, 2010

 

 

AGENCY UMBRELLA UNIT NUMBER:  02-032

 

AGENCY NAME:  Department of Professional and Financial Regulation, Office of Securities

                                                                       

CONTACT PERSON:  Judith M. Shaw, Securities Administrator, 121 State House Station, Augusta, ME  04333-0121.  Tel:  (207) 624-8551.  E-mail:  Judith.M.Shaw@maine.gov

 

EMERGENCY RULES ADOPTED SINCE THE LAST REGULATORY AGENDA:  None

 

EXPECTED 2010-2011 RULE-MAKING ACTIVITY:

 

 

CHAPTER 504:  Broker Dealer and Agent Licensing

STATUTORY BASIS:  32 M.R.S.A. 16401, 16402, 16405, 16406, 16408, 16411, 16412, and 16605

PURPOSE:  Revise and update this rule to address policy, law, industry, or other changes.

ANTICIPATED SCHEDULE:  Prior to 1/2011

AFFECTED PARTIES:  Broker Dealers and Agents.

CONSENSUS-BASED RULE DEVELOPMENT:  Not expected

 

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

STATUTORY BASIS:  32 M.R.S.A. 16401, 16402, 16405, 16406, 16408, 16411, 16412, and 16605

PURPOSE:  Revise and update this rule to address policy, law, industry, or other changes.

ANTICIPATED SCHEDULE:  Prior to 1/2011

AFFECTED PARTIES:  Broker-Dealers and persons representing investment advisers.

CONSENSUS-BASED RULE DEVELOPMENT:  Not expected

 

CHAPTER 515:  Investment Adviser Licensing

STATUTORY BASIS:  32 M.R.S.A. 16403, 16404, 16405, 16406, 16408, 16411, 16412, and 16605

PURPOSE:  Revise and update this rule to address policy, law, industry, or other changes.

ANTICIPATED SCHEDULE:  Prior to 1/2011

AFFECTED PARTIES:  Investment advisers and persons representing investment advisers.

CONSENSUS-BASED RULE DEVELOPMENT:  Not expected