United States — Maine Act or statute

United States — Maine legislation

Maine Revised Statutes, Title 32, § 6135: Registration standards, 1997

Source excerpt

administrative investigationapplication denialregistration standards

Jurisdiction: United States — Maine
Structure: 1 provisions
Official identity: Year 1997
Dates: Enacted 1997 · Source version 1 Oct 2025

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Dates: Enacted 1997 · Source version 1 Oct 2025

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“When an application for registration is filed, the administrator must investigate the applicant’s business records, capital adequacy, and qualifications-related background. If the applicant is found not properly qualified to conduct business under this subchapter, the application may be denied.”

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Enacted 1997 · 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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Registration standards

When an application for registration is filed, the administrator must investigate the applicant’s business records, capital adequacy, and qualifications-related background. If the applicant is found not properly qualified to conduct bus…

Section 6135

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Source record from legislature.maine.gov · Enacted 1997 · Source version 1 Oct 2025

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Provision

§ 6135Registration standardsProvision

Source excerpt

1. Investigation. Upon the filing of an application for registration, the administrator shall investigate the applicant with respect to: A. The business records and the capital adequacy of the person seeking the registration; [PL 1997, c. 155, Pt. A, §2 (NEW).] B. The competence, experience, integrity and financial ability of any individual who: (1) Is a director, officer or supervisory employee of the business; or (2) Owns or controls the business; and [PL 1997, c. 155, Pt. A, §2 (NEW).] C. The record of the applicant or of any person referenced in paragraph B with respect to: (1) Any criminal activity; (2) Any fraud or other act of personal dishonesty; (3) Any act, omission or practice that constitutes a breach of a fiduciary duty; or (4) Any suspension or removal, by any agency or department of the United States or any state, from participation in the conduct of any federally or state-licensed or regulated business. [PL 1997, c. 155, Pt. A, §2 (NEW).] [PL 1997, c. 155, Pt. A, §2 (NEW).] 2. Grounds for denial. If the investigation under subsection 1 results in findings that the applicant is not properly qualified to conduct business under this subchapter, those findings are grounds for denial of the application. [PL 1997, c. 155, Pt. A, §2 (NEW).]

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1 Oct 2025 · currentEnglish

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