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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, April 20, 2015, in observance of Patriot's Day.

Maine’s crowdfunding rule goes live on January 1, 2015! Below is the new rule and the documents Maine businesses will need to take advantage of the Fund-ME funding opportunity.

Industry Guidance

Launch of the Electronic Filing Depository (PDF)

Unlicensed Activity (PDF)

Avoiding Common Deficiencies Found in Investment Adviser Applications (PDF)

Be an Informed Investor:

What is Virtual Currency?

Financial Service Providers

Private Placements


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

What Every Small Business Should Know About:



News and Alerts

  • Governor and State Financial Agencies Promote “America Saves Week” and “Military Saves Week”
  • Maine Securities Administrator Selected to Head International Organization
  • Maine Office of Securities Announces Actions to Bar Resident from Securities Industry
  • Office of Securities Implements Crowdfunding in Maine: New Rule Will Make it Easier for Small Businesses to Raise Capital
  • Maine’s Securities Administrator Orders InteliCloud, Tech Financial Group, and Others to Cease and Desist Offering or Selling Unregistered Securities in Maine
  • Maine Office of Securities Announces Fee Reductions and New Online Resource
  • 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
  • Last Updated: February 17, 2015