The Maine Uniform Application to Register Securities (U1)(PDF) Repealed is an official form used by the Maine Office of Securities to register securities with the state. It is a one-page form that must be completed in its entirety before the securities can be registered. The form contains information about the issuing company, the type of security being registered, the offering price, the registration fee, and the total number of securities being registered. The form must be signed by an officer of the company and the registration fee must be paid before the securities can be registered. The Maine Uniform Application to Register Securities (U1)(PDF) Repealed is used for registering stocks, bonds, debentures, options, and warrants.
Maine Uniform Application to Register Securities (U1)(PDF) Repealed
State:
Maine
Control #:
ME-SKU-0113
Format:
PDF
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Uniform Application to Register Securities (U1)(PDF) Repealed
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As of January 2009, the 2002 Act has been enacted in Georgia, Hawaii, Idaho, Indiana, Iowa, Kansas, Maine, Minnesota, Missouri, Oklahoma, South Carolina, South Dakota, Vermont, Wisconsin and the US Virgin Islands. The 2002 Act has been endorsed by the following organizations: American Bar Association (ABA)
The Uniform Securities Act is a model law created as a starting point for state-level securities regulation. The purpose of the Uniform Securities Act is to deal with securities fraud at the state level and to assist the Securities and Exchange Commission (SEC) in enforcement and regulation.
Section 202: Registration Procedure The secretary may by rule or order specify an earlier effective date, and may by order defer the effective date until noon of the thirtieth day after the filing of any amendment.
§ 78a et seq.) is a law governing the secondary trading of securities (stocks, bonds, and debentures) in the United States of America. A landmark of wide-ranging legislation, the Act of '34 and related statutes form the basis of regulation of the financial markets and their participants in the United States.
Exempt Security - Common types of exempt securities are government securities, bank securities, high-quality debt instruments, non-profit securities, and insurance contracts.
The Securities Act of 1933 was the first federal law to regulate the securities industry. It requires companies that sell stocks or bonds to the public to disclose certain information, such as their assets, financial health, executives, and a description of the security being sold.
Often referred to as the "truth in securities" law, the Securities Act of 1933 has two basic objectives: require that investors receive financial and other significant information concerning securities being offered for public sale; and. prohibit deceit, misrepresentations, and other fraud in the sale of securities.
The Act parleys with the provisions of the Securities and Exchange Commission (SEC) in enforcing securities laws and regulating transactions.
