# 032 Ch. 506: Ch. 506: Financial Institutions and Broker-Dealers Engaging in Third Party Brokerage Arrangements (Ch. 506 is a Joint Rule with 02-029 Ch. 129)

> Maine · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/STATE_ME_CMR_00_032_506

## Section

- **Citation:** 032 Ch. 506
- **Heading:** Ch. 506: Financial Institutions and Broker-Dealers Engaging in Third Party Brokerage Arrangements (Ch. 506 is a Joint Rule with 02-029 Ch. 129)
- **Jurisdiction:** Maine
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** August 14, 2026
- **Source:** Compiled text
- **Location:** Code of Maine Rules / -032 Department of Professional and Financial Regulation Rules / Ch. 506

## Text

:
	December 31, 2005 – filing 2005-525
 032, Office of Securities:

NON-SUBSTANTIVE CORRECTIONS:
	October 22, 2001 - to reflect creation of new and separate Office of Securities, 02 032, mandated by P.L. 2001 c.182

REPEALED AND REPLACED:
	January 18, 2003 - filing 2003-16

AMENDED:
	December 31, 2005 – filing 2005-524
 
 

 

 

 




02-029, Bureau of Financial Institutions, Chapter 129
02-032, Office of Securities, Chapter 506
page page 8

## Nearby sections

- [032 Ch. 504 Ch. 504: Broker-Dealer and Agent Licensing](https://www.frixlaw.com/law-library/statutes/STATE_ME_CMR_00_032_504.md)
- [032 Ch. 506 Ch. 506: Financial Institutions and Broker-Dealers Engaging in Third Party Brokerage Arrangements (Ch. 506 is a Joint Rule with 02-029 Ch. 129)](https://www.frixlaw.com/law-library/statutes/STATE_ME_CMR_00_032_506.md)
- [032 Ch. 510 Ch. 510: Broker-Dealers Investment Advisers and Others Using the Internet for General Dissemination of Information about Securities Products and Services](https://www.frixlaw.com/law-library/statutes/STATE_ME_CMR_00_032_510.md)
- [032 Ch. 516 Ch. 516: Definition of Client for Purposes of Investment Adviser Licensing and Notice Filing by Federal Covered Investment Advisers](https://www.frixlaw.com/law-library/statutes/STATE_ME_CMR_00_032_516.md)
- [032 Ch. 523 Ch. 523](https://www.frixlaw.com/law-library/statutes/STATE_ME_CMR_00_032_523.md)
- [032 Ch. 527 Ch. 527: Federal Regulation Crowdfunding Notice Filing and Fees](https://www.frixlaw.com/law-library/statutes/STATE_ME_CMR_00_032_527.md)
- [032 Ch. 528 Ch. 528: Federal "Regulation A" Tier 2 Notice Filings and Fees](https://www.frixlaw.com/law-library/statutes/STATE_ME_CMR_00_032_528.md)
- [032 Ch. 534 Ch. 534: Limited Private Offering Exemptions; Purchasers Present in This State and Single Issue](https://www.frixlaw.com/law-library/statutes/STATE_ME_CMR_00_032_534.md)
- [032 Ch. 536 Ch. 536: Securities Manuals](https://www.frixlaw.com/law-library/statutes/STATE_ME_CMR_00_032_536.md)
- [032 Ch. 540 Ch. 540: Adjudicatory Proceedings Rule](https://www.frixlaw.com/law-library/statutes/STATE_ME_CMR_00_032_540.md)
- [032 Ch. 541 Ch. 541: Initial and Annual Renewal Fees](https://www.frixlaw.com/law-library/statutes/STATE_ME_CMR_00_032_541.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/STATE_ME_CMR_00_032_506. Check the current official text before relying on it. Not legal advice.