Statutes, codes, and regulations
Maine Administrative Code
Department 02 - DEPARTMENT OF PROFESSIONAL AND FINANCIAL REGULATIONDivision 032 - OFFICE OF SECURITIES
Chapter 515 - INVESTMENT ADVISER LICENSING
Section 032-515-1 - Definitions

02-032-515 Me. Code R. § 1

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Current through 2024-51, December 18, 2024
Section 032-515-1 - Definitions

For the purposes of this chapter, the following definitions shall apply:

1.Act. "Act" means the Maine Uniform Securities Act, 32 M.R.S.A. §§16101 to 16702.
2.Administrator. "Administrator" has the same meaning as in 32 M.R.S.A. §16102(1).
3.CRD. "CRD" means the Internet-based Central Registration Depository.
4.Federal Covered Investment Adviser. "Federal Covered Investment Adviser" has the same meaning as in 32 M.R.S.A. §16102(6).
5.Form ADV. "Form ADV" means the Uniform Application for Investment Adviser Registration, a uniform form which is hereby adopted for use in the State of Maine.
6.Form ADV-H. "Form ADV-H" means the Uniform Application for a temporary or continuing Hardship Exemption, a uniform form which is hereby adopted for use in the State of Maine.
7.Form ADV-W. "Form ADV-W" means the Uniform Notice of Withdrawal from Registration as Investment Adviser, a uniform form which is hereby adopted for use in the State of Maine.
8.Form BR. "Form BR" means the Uniform Branch Office Registration Form, a uniform form that is hereby adopted for use in the State of Maine.
9.Form U-4. "Form U-4" means the Uniform Application for Securities Industry Registration or Transfer, a uniform form which is hereby adopted for use in the State of Maine.
10.Form U-5. "Form U-5" means the Uniform Termination Notice for Investment Adviser licensure or registration, a uniform form which is hereby adopted for use in the State of Maine.
11.IARD. "IARD" means the Internet-based Investment Adviser Registration Depository.
12.Investment Adviser. "Investment Adviser" has the same meaning as in 32 M.R.S.A. §16102(15).
13.Investment Adviser Representative. "Investment Adviser Representative" has the same meaning as in 32 M.R.S.A. §16102(16).
14.Investment Advisory Contract. "Investment Advisory Contract" means any contract or agreement whereby a person agrees to act as investment adviser to or manage any investment or trading account of another person other than an investment company registered under the United States Investment Company Act of 1940.
15.SEC. "SEC" means the United States Securities and Exchange Commission.

02-032 C.M.R. ch. 515, § 1