2009-2010 REGULATORY AGENDA

 

September 22, 2010

 

 

AGENCY UMBRELLA UNIT NUMBER:  02-032

 

AGENCY NAME:  Department of Professional and Financial Regulation, Office of Securities

                                                                       

CONTACT PERSON:  Judith M. Shaw, Securities Administrator, 121 State House Station, Augusta, ME  04333-0121.  Tel:  (207) 624-8551.  E-mail:  Judith.M.Shaw@maine.gov

 

EMERGENCY RULES ADOPTED SINCE THE LAST REGULATORY AGENDA:  None

 

EXPECTED 2009-2010 RULE-MAKING ACTIVITY:

 

 

CHAPTER 515:  Investment Adviser Licensing

STATUTORY BASIS:  32 M.R.S.A. §§ 16403, 16404, 16405, 16406, 16408, 16411, 16412, and 16605

PURPOSE:  Revise and update this rule to address policy, law, industry, or other changes.

ANTICIPATED SCHEDULE:  Prior to 10/2010

AFFECTED PARTIES:  Investment advisers and persons representing investment advisers.

CONSENSUS-BASED RULE DEVELOPMENT:  Not expected