United States — Maine Act or statute

United States — Maine legislation

Maine Revised Statutes, Title 32, § 16808: Records, 2019

Broker-dealers and investment advisers must give relevant records about suspected or attempted financial exploitation of an eligible adult to DHHS or law enforcement in specified referral, request, or investigation…

Source excerpt

financial exploitationrecord accessrecords confidentialityregulatory investigation

Jurisdiction: United States — Maine
Structure: 1 provisions
Official identity: Year 2019
Dates: Enacted 2019 · Source version 1 Oct 2025

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Dates: Enacted 2019 · Source version 1 Oct 2025

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“Broker-dealers and investment advisers must give relevant records about suspected or attempted financial exploitation of an eligible adult to DHHS or law enforcement in specified referral, request, or investigation contexts.”

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Enacted 2019 · Source version 1 Oct 2025. The date shown identifies this source expression and should not be treated as proof that no later change exists.
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Section 16808

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Source record from legislature.maine.gov · Enacted 2019 · Source version 1 Oct 2025

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§ 16808RecordsProvision

Source excerpt

A broker-dealer or investment adviser shall provide access to or copies of records that are relevant to the suspected or attempted financial exploitation of an eligible adult to the Department of Health and Human Services and to a law enforcement agency as part of a referral to the department or to a law enforcement agency or upon request of the department or a law enforcement agency pursuant to an investigation. The records may include historical records and records relating to recent transactions that may constitute financial exploitation of an eligible adult. All records made available to agencies under this section are not public records for purposes of Title 1, chapter 13, subchapter 1. Nothing in this section limits or otherwise impedes the authority of the administrator to access or examine the books and records of broker-dealers and investment advisers as otherwise provided by law. [PL 2019, c. 17, §1 (NEW).]

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1 Oct 2025 · currentEnglish

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