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 Thursday, July 4, 2013, in observance of Independence Day.
Saturday, June, 15, 2013, is World Elder Abuse Awareness Day. The Office of Securities is dedicated to the protection of Maine consumers and committed to providing education and resources to address the serious issue of elder financial abuse. Below is a partial list of state agencies and organizations in Maine providing information, services, and education on elder abuse, including financial exploitation.
To see Governor LePage’s proclamation designating June 15th as “Maine Elder Abuse Awareness Day,”
click here.
Maine Office of Aging and Disability Services:
1-800-262-2232 or 207-287-9200
Maine Adult Protective Services:
Hotline: 1-800-624-8404
Maine Department of Professional and Financial Regulation:
(Five Agencies Offering a Wide Range of Assistance to Seniors and Caregivers)
Maine Area Agencies on Aging:
List of regional agencies with full contact information:
Legal Services for the Elderly:
1-800-750-5353
Important Announcement
Regarding Exam Fees for the Series 63, 65 and 66.
Effective June 1, 2013, the enrollment fees for the Series 63, 65, and 66 examinations will increase. Candidates enrolling for the Series 63, 65, or 66 on or after June 1, 2013, will be charged the following:
| Examination | | Enrollment Fee |
| Series 63 | | $115 |
| Series 65 | | $155 |
| Series 66 | | $145 |
INVESTOR ALERT
Be an Informed Investor:
What Every Small Business Should Know About:
Maine Licensed Investment Advisors
Switch Training Power Point
American Sign Language Videocast of the SEC Investor Alert
on the Imperia Invest IBC case.
Recent Investor Education Publications
Hard copies of all investor education publications and more are available by contacting the Office of Securities at 1-877-624-8551
News and Alerts
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
Office of Securities Announces Conviction in Theft and Securities Fraud Case
Maine’s Office of Securities and Partners to Offer 'Outsmarting Financial Fraud and Elder Abuse’ Educational Sessions
Maine’s Office of Securities Issues Advisory to Warn Consumers about “Crowdfunding” Investments
Last Updated:
June 17, 2013
