# 032 Ch. 536: Ch. 536: Securities Manuals

> Maine · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/STATE_ME_CMR_00_032_536

## Section

- **Citation:** 032 Ch. 536
- **Heading:** Ch. 536: Securities Manuals
- **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. 536

## Text

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).

## 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_536. Check the current official text before relying on it. Not legal advice.