02-032 C.M.R. ch. 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.
Notes
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