BD- Maine Broker-Dealer Annual Certification for Manual Exemption Form

The ME Broker-Dealer Annual Certification for Manual Exemption Form should be completed by an authorized officer of the broker-dealer attesting that the securities manual or its electronic equivalent contains the required information pursuant to 32 Maine Uniform Securities Act § 16202(2)(D)(1) – (4).

Version/Update: V.U/04/2020

Total Page Count/Format: 1/.pdf

Source/Author(s): Maine Dept. of Professional & Financial Regulation Office of Securities