| | |
brokerage or investment advice or solicits, meets with or | | otherwise communicates with customers or clients; or |
|
| | | B.__Any other location that is held out to the general | | public as a location at which the broker-dealer, investment | | adviser or federal covered investment adviser provides | | brokerage or investment advice or solicits, meets with or | | otherwise communicates with customers or clients. |
|
| | | 22.__Predecessor act. "Predecessor act" means the former | | Revised Maine Securities Act. |
|
| | | 23.__Price amendment. "Price amendment" means the amendment to | | a registration statement filed under the federal Securities Act | | of 1933 or, if an amendment is not filed, the prospectus or | | prospectus supplement filed under the federal Securities Act of | | 1933 that includes a statement of the offering price, | | underwriting and selling discounts or commissions, amount of | | proceeds, conversion rates, call prices and other matters | | dependent upon the offering price. |
|
| | | 24.__Principal place of business. "Principal place of | | business" of a broker-dealer, an investment adviser or an issuer | | means the executive office of the broker-dealer, investment | | adviser or issuer from which the officers, partners or managers | | of the broker-dealer, investment adviser or issuer direct, | | control and coordinate the activities of the broker-dealer, | | investment adviser or issuer. |
|
| | | 25.__Record. "Record," except in the phrases "of record," | | "official record" and "public record," means information that is | | inscribed on a tangible medium or that is stored in an electronic | | or other medium and is retrievable in perceivable form. |
|
| | | 26.__Sale; offer to sell. "Sale" includes every contract of | | sale of, contract to sell or disposition of a security or | | interest in a security for value.__"Offer to sell" includes every | | attempt or offer to dispose of, or solicitation of an offer to | | purchase, a security or interest in a security for value.__"Sale" | | and "offer to sell" include: |
|
| | | A.__A security given or delivered with, or as a bonus on | | account of, a purchase of securities or any other thing | | constituting part of the subject of the purchase and having | | been offered and sold for value; |
|
| | | B.__A gift of assessable stock involving an offer and sale; | | and |
|
|
