Ch. 536: Securities Manuals
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Code of Maine Rules › -032 Department of Professional and Financial Regulation Rules › Ch. 536
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Summary: This chapter designates certain manuals as “nationally recognized securities manuals” for purposes of issuers seeking an exemption from the securities registration requirements pursuant to 32 M.R.S.A. §16202(2).
Section 1. Designation.
The Securities Administrator designates as “nationally recognized securities manuals” any Mergent securities manuals, and the OTCQX and OTCQB markets, that contain, in whatever format, the information specified in 32 M.R.S.A. §16202(2)(D)(1) - (4).
Section 2. Annual Certification.
Each securities manual designated in Section 1 of this rule must submit to the Securities Administrator each year before January 15 written certification, by notarized signature of a corporate officer, that all listings in its manual or its electronic equivalent contain the information specified in 32 M.R.S.A. §16202(2)(D)(1) – (4).
This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.