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Office of Securities

The Office of Securities protects Maine investors by investigating and prosecuting violations of the securities laws; licensing broker-dealers, agents, investment advisers, and investment adviser representatives; and reviewing registration statements and exemption filings for securities issuers that are seeking to sell in Maine.

The Office of Securities will be closed on Monday, October 13, 2014, in observance of Columbus Day.


Rulemaking regarding an Amendment to Rule 541, Initial and Annual Renewal Fees

Notice of Adoption of Rule

Notice of Rulemaking

Proposed Amendment to Rule 541

Small Business Impact Statement

 


Proposed Rulemaking regarding Short Form Seed Capital Registration

Notice of Rulemaking

Proposed Seed Capital Registration Rule

Small Business Impact Statement

 


Industry Guidance

Unlicensed Activity (PDF)

Avoiding Common Deficiencies Found in Investment Adviser Applications (PDF)


INVESTOR ALERT
Be an Informed Investor:

What is Virtual Currency?

Financial Service Providers

Private Placements

Crowdfunding


For more information, take a look at our investor education brochures.


What Every Small Business Should Know About:

Crowdfunding

 


News and Alerts

  • Securities Survey Finds Mid-Sized Investment Advisers in Maine Addressing Cybersecurity Risks
  • In Highlighting Elder Abuse Awareness Day, State Officials Urge Mainers to Report Suspected Cases of Abuse
  • Maine Office of Securities Issues Investor Advisory on Virtual Currency: It pays to know what’s in your e-Wallet
  • Governor LePage and Coalition of Government, Nonprofit, and Business Leaders Announce Fifth Annual Conference: ‘Fostering Financial Literacy in Maine Schools’
  • Office of Securities Seeking Information from Residents Involved in Sea Hunters Investment
  • Governor, Department and Maine Council for Elder Abuse Prevention Announce Launch of First-in-Nation Training Program for Financial Institutions
  • Office of Securities Announces Initiative to Raise Public Awareness about Different Roles of Financial Professionals and to Assist Licensed Investment Advisers in Serving their Clients
  • Department Warns of “Car Wrapping” and “Get Paid to Drive” Scams
  • Department Encourages Seniors and Caregivers to Utilize State Resources to Protect Against Elder Abuse and to Report Suspected Cases
  • Maine Office of Securities Issues Investor Advisory on Private Placement Offerings
  • Governor, Department of Professional and Financial Regulation and Non-Profits Announce Fostering Financial Education Month in Maine
  • Coalition of Government, Nonprofit, and Business Leaders Announce Fourth Annual Statewide Conference: “Fostering Financial Literacy in Maine Schools”
  • Maine’s Office of Securities Issues Consumer Alert: “Profitable Sunrise” is Unregistered, Questionable Scheme
  • Governor and Department Promote "America Saves Week" and "Military Saves Week"
  • Office of Securities Assists Businesses and Investors in 2012, Ordering Nearly $1.2 Million in Restitution to Investors and Penalties on Those Violating Securities Laws
  • Office of Securities and Attorney General's Office Announce Sentencing of Former Stockbroker in Theft and Securities Fraud Case
  • Last Updated: September 11, 2014