Division 032 - OFFICE OF SECURITIES

Chapter 504 - BROKER-DEALER AND AGENT LICENSING (§§ 1 — 10)
Chapter 506 - FINANCIAL INSTITUTIONS AND BROKER-DEALERS ENGAGING IN THIRD PARTY BROKERAGE ARRANGEMENTS (§§ 1 — 9)
Chapter 507 - LICENSING EXEMPTION FOR CERTAIN FOREIGN BROKER-DEALERS (§§ 1 — 3)
Chapter 510 - BROKER-DEALERS, INVESTMENT ADVISERS, AND OTHERS USING THE INTERNET FOR GENERAL DISSEMINATION OF INFORMATION ABOUT SECURITIES PRODUCTS AND SERVICES (§§ 1 — 3)
Chapter 511 - CHANGE OF OWNERSHIP OR CONTROL OF A BROKER-DEALER OR INVESTMENT ADVISER (§ 1)
Chapter 512 - PROHIBITION AGAINST USE OF MISLEADING SENIOR DESIGNATIONS (§§ 1 — 2)
Chapter 515 - INVESTMENT ADVISER LICENSING (§§ 1 — 15)
Chapter 516 - DEFINITION OF CLIENT FOR PURPOSES OF INVESTMENT ADVISER LICENSING AND NOTICE FILING BY FEDERAL COVERED INVESTMENT ADVISERS (§§ 1 — 2)
Chapter 523 - RULE REGARDING SHORT-FORM SEED CAPITAL REGISTRATIONS (§§ 1 — 9)
Chapter 525 - RULE REGARDING SMALL COMPANY OFFERING REGISTRATIONS (§§ 1 — 7)
Chapter 527 - FEDERAL REGULATION CROWDFUNDING NOTICE FILINGS AND FEES (§§ 1 — 4)
Chapter 528 - FEDERAL "REGULATION A" TIER 2 NOTICE FILINGS AND FEES (§§ 1 — 4)
Chapter 532 - SECURITIES OFFERINGS ON THE INTERNET (§§ 1 — 4)
Chapter 533 - MAINE ISSUER NOTIFICATION OF EXEMPTION FORM (§§ 1 — 2)
Chapter 534 - LIMITED PRIVATE OFFERING EXEMPTIONS; PURCHASERS PRESENT IN THIS STATE AND SINGLE ISSUE (§§ 1 — 3)
Chapter 536 - SECURITIES MANUALS (§§ 1 — 2)
Chapter 537 - EXEMPTION FOR OFFERS AND SALES TO ACCREDITED INVESTORS (§§ 1 — 5)
Chapter 538 - EXEMPTION FOR OFFERS AND SALES TO THE FINANCE AUTHORITY OF MAINE (§§ 1 — 2)
Chapter 539 - OFFERS AND SALES OF VIATICAL OR LIFE SETTLEMENT CONTRACTS (§§ 1 — 6)
Chapter 540 - ADJUDICATORY PROCEEDINGS RULE (§§ 1 — 21)
Chapter 541 - INITIAL AND ANNUAL RENEWAL FEES (§§ 1 — 2)
Chapter 542 - MODEL RESCISSION OFFER FORMS (§§ 1 — 3)