02-029-129 Me. Code R. § 7
Current through 2024-46, November 13, 2024
For purposes of 32 M.R.S.A. §16412(4)(M), it is an unethical practice in the securities business for a broker-dealer engaging in a third party brokerage arrangement with a financial institution authorized to do business in this State to fail to comply with any of the requirements set forth in Sections 5 or 6 of this rule, or to allow anyone other than personnel licensed by the Maine Office of Securities to conduct securities transactions.
02-029 C.M.R. ch. 129, § 7