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Home > Statutes > Usa Maine
USA Statutes : maine
Title : Title 32. PROFESSIONS AND OCCUPATIONS
Chapter : chapter
Title 32 - §11302. Enforcement of chapter

Title 32: PROFESSIONS AND OCCUPATIONS
Chapter 111-A: MAINE COMMODITY CODE (HEADING: PL 1987, c. 402, Pt. A, @174 (rpr))
Subchapter 2: ADMINISTRATION AND ENFORCEMENT

§11302. Enforcement of chapter

1. Cease and desist order. If the administrator believes, whether or not based upon an investigation conducted under section 11301, that any person has engaged or is about to engage in any act or practice constituting a violation of any rule or order under this chapter, the administrator may:



A. Issue a cease and desist order; or [1985, c. 643 (new).]




B. Initiate any of the actions specified in subsection 2. [1985, c. 643 (new).]

[1989, c. 542, §76 (amd).]


2. Court action. The administrator may institute any of the following actions in the appropriate courts of this State, or in the appropriate courts of another state, in addition to any legal or equitable remedies otherwise available:



A. An action for declaratory judgment; [1985, c. 643 (new).]




B. An action for a prohibitory or mandatory injunction to enjoin the violation and to ensure compliance with this chapter or any rule or order of the administrator; [1989, c. 542, §76 (amd).]




C. An action for disgorgement; or [1985, c. 643 (new).]




D. An action for appointment of a receiver or conservator for the defendant or the defendant's assets. [1985, c. 643 (new).]

[1989, c. 542, §76 (amd).]

The Revisor's Office cannot provide legal advice or interpretation of Maine law to the public. If you need legal advice, please consult a qualified attorney.
Office of the Revisor of Statutes
7 State House Station
State House Room 108
Augusta, Maine 04333-0007 This page created on: 2005-10-01
Title 32 - §11305. Administration of chapter

Title 32: PROFESSIONS AND OCCUPATIONS
Chapter 111-A: MAINE COMMODITY CODE (HEADING: PL 1987, c. 402, Pt. A, @174 (rpr))
Subchapter 2: ADMINISTRATION AND ENFORCEMENT

§11305. Administration of chapter

1. Administrator. This chapter shall be administered by the Securities Administrator. [1989, c. 542, §79 (amd).]


2. Use of information. Neither the administrator nor any employee of the administrator may use any information which is filed with or obtained by the administrator which is not public information for personal gain or benefit, nor may the administrator nor any employee of the administrator conduct any securities or commodity dealings whatsoever based upon any such information, even though public, if there has not been a sufficient period of time for the securities or commodity markets to assimilate that information. [1989, c. 542, §79 (amd).]


3. Public information. Notwithstanding any other provision of law, except as provided in paragraph A, all information collected, assembled or maintained by the administrator is public information and is available for the examination of the public.



A. The following are exceptions to this subsection:

(1) Information obtained in private investigations pursuant to section 11301;


(2) Information made confidential by rule or order of the administrator; or


(3) Information obtained from federal agencies which may not be disclosed under federal law.
[1989, c. 542, §79 (amd).]

[1989, c. 542, §79 (amd).]


4. Disclosure of information. The administrator may disclose any information made confidential under subsection 3, paragraph A, subparagraph (1), to persons identified in section 11306, subsection 1. [1989, c. 542, §79 (amd).]


5. Privilege. No provision of this chapter creates or derogates any privilege which exists at common law, by statute or otherwise, when any documentary or other evidence is sought under subpoena directed to the administrator or any employee of the administrator. [1989, c. 542, §79 (amd).]

The Revisor's Office cannot provide legal advice or interpretation of Maine law to the public. If you need legal advice, please consult a qualified attorney.
Office of the Revisor of Statutes
7 State House Station
State House Room 108
Augusta, Maine 04333-0007 This page created on: 2005-10-01
Title 32 - §11309. Scope of chapter

Title 32: PROFESSIONS AND OCCUPATIONS
Chapter 111-A: MAINE COMMODITY CODE (HEADING: PL 1987, c. 402, Pt. A, @174 (rpr))
Subchapter 2: ADMINISTRATION AND ENFORCEMENT

§11309. Scope of chapter

1. Seller. Sections 11202, 11205 and 11206 apply to persons who sell or offer to sell when:



A. An offer to sell is made in this State; or [1985, c. 643 (new).]




B. An offer to buy is made and accepted in this State. [1985, c. 643 (new).] [1985, c. 643 (new).]




2. Purchaser. Sections 11202, 11205 and 11206 apply to persons who buy or offer to buy when:



A. An offer to buy is made in this State; or [1985, c. 643 (new).]




B. An offer to sell is made and accepted in this State. [1985, c. 643 (new).] [1985, c. 643 (new).]




3. Offer in this State. For the purpose of this section, an offer to sell or to buy is made in this State, whether or not either party is then present in this State, when the offer:



A. Originates from this State; or [1985, c. 643 (new).]




B. Is directed by the offeror to this State and received at the place to which it is directed, or at any post office in this State in the case of a mailed offer. [1985, c. 643 (new).] [1985, c. 643 (new).]




4. Acceptance in this State. For the purpose of this section, an offer to buy or to sell is accepted in this State when acceptance:



A. Is communicated to the offeror in this State; and [1985, c. 643 (new).]




B. Has not previously been communicated to the offeror, whether or not either party is then present in this State, when the offeree directs it to the offeror in this State reasonably believing the offeror to be in this State and it is received at the place to which it is directed, or at any post office in this State in the case of a mailed acceptance. [1985, c. 643 (new).] [1985, c. 643 (new).]




5. Newspapers and other publications. For the purpose of this section, an offer to sell or to buy is not made in this State when the publisher circulates or there is circulated on his behalf in this State any bona fide newspaper or other publication of general, regular and paid circulation:



A. Which is not published in this State; or [1985, c. 643 (new).]




B. Which is published in this State, but has had more than 23 of its circulation outside this State during the past 12 months. [1985, c. 643 (new).]

For the purpose of this subsection, when a publication is published in editions, each edition shall be considered a separate publication except for material common to all editions. [1985, c. 643 (new).]


6. Electronic communications. For the purpose of this section, an offer to sell or to buy is not made in this State when a radio or television program or other electronic communication originating outside this State is received in this State. For the purpose of this subsection, a radio or television program or other electronic communication shall be considered having originated from this State if either the broadcast studio or means of transmission is located within this State, unless:



A. The program or communication is syndicated and distributed from outside this State for redistribution to the general public in this State; [1985, c. 643 (new).]




B. The program or communication is supplied by a radio, television or other electronic network with the electronic signal originating from outside this State for redistribution to the general public in this State; [1985, c. 643 (new).]




C. The program or communication is an electronic signal that originates outside this State and is captured for redistribution to the general public in this State by a community antenna or cable, radio, television or other electronic system; or [1985, c. 643 (new).]




D. The program or communication consists of an electronic signal which originates from within this State, but which is not intended for redistribution to the general public in this State. [1985, c. 643 (new).]

This subsection does not apply to any changes, alterations or additions made locally to a radio or television program or other electronic communications. [1985, c. 643 (new).]

The Revisor's Office cannot provide legal advice or interpretation of Maine law to the public. If you need legal advice, please consult a qualified attorney.
Office of the Revisor of Statutes
7 State House Station
State House Room 108
Augusta, Maine 04333-0007 This page created on: 2005-10-01
 
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