02-029 C.M.R. ch. 129, § 7 - Broker-dealer unethical practice defined

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.

Notes

02-029 C.M.R. ch. 129, § 7

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