02-032-507 Me. Code R. § 3
Current through 2024-51, December 18, 2024
A broker-dealer that is registered or licensed in Canada and otherwise qualifies for a licensing exemption provided for in 32 M.R.S.A. §16401(2) shall not lose that exemption solely as a result of effecting transactions in compliance with this rule. In addition, a broker-dealer that otherwise qualifies for the exemption provided for in this rule shall not lose this exemption solely as a result of also effecting transactions pursuant to an exemption provided for in 32 M.R.S.A. §16401(2).
02-032 C.M.R. ch. 507, § 3