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Office of Securities

IMPORTANT INFORMATION REGARDING STATE GOVERNMENT CLOSURES

Maine State Government will be closed Monday, April 19th in observance of Patriots Day and Tuesday, April 20th as required by the State budget. Many services offered by the Office are always available on this website.

View complete list of Shutdown Days Here - (July 2009 thru May 2011)

 

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"Free Lunch" Monitoring Training

Augusta, Bangor and Portland

 

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.

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Investor Information & Education

 

• Watch Securities Administrator Judith Shaw's Interview with MPBN's Jennifer Rooks and U.S. SEC Commissioner Elise Walter on Senior Investing (first 18 min.)

• Check before you invest
• The Smart Investor's Check List
• Investing Basics - Online Guide
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• Need A Speaker?

News and Alerts

 

"NOTICE OF ADDRESS CHANGE"

The physical address of the Office of Securities has changed from 124 Northern Ave. to 76 Northern Ave., Gardiner, ME 04345. Please use this address for all courier deliveries. All mail via USPS should be directed to 121 State House Station, Augusta, ME 04333-0121.

• Information on "Free Lunch" Monitoring Training in Augusta, Bangor and Portland
• Maine Office of Securities and Attorney General's Office Announce Action in Real Estate Investment Scheme
• Maine’s Office of Securities Announces Indictment of Former Real Estate Broker
• Kaile Warren, owner of Rent-A-Husband, Indicted on Charges of Securities Fraud, Theft by Deception, and Sale of Unregistered Securities
• Maine Office of Securities, Attorney General's Office and AARP Launch Statewide Initiative to Crack Down on Exploitation of Seniors at "Free Lunch Seminars"
• Maine’s Office of Securities Finalizes Agreements with JP Morgan and Merrill Lynch to Settle Auction Rate Securities Cases
• Maine’s Office of Securities Joins National Campaign to Arm Investors with Information about Top Investor Traps
• Office of Securities Announces Agreement with Bank of America to Settle Auction Rate Securities Case
• Office of Securities' Investigations Lead to Indictments
• Governor, State Agencies and Private Organizations Recognize World Elder Abuse Awareness Day
• Securities Administrator Judith Shaw's interview on MPBN
• Auction Rate Securities Case Settlement Reached
• Use Caution Purchasing Gold or Silver on the Internet
• Securities Administrator Judith Shaw at Work--Consumer Protection High Priority
• Office of Securities issues warning on Almighty Wind, Inc.
• America Saves Week
• Office of Securities Obtains Restitution
• "SEC Warns Senior Investors of the Perils of 'Free Lunch' Investment Seminars"
• Notice to State-Licensed Investment Advisers
• New Maine Uniform Securities Act Effective March 20, 2007
• New Rules Implementing Maine Uniform Securities Act

» All News and Alerts

 

Last Updated: March 17, 2010

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