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 Tuesday, November 11, 2014, in observance of Veterans Day.
Rulemaking regarding an Amendment to Rule 541, Initial and Annual Renewal Fees
Proposed Rulemaking regarding Short Form Seed Capital Registration
Unlicensed Activity (PDF)
Avoiding Common Deficiencies Found in Investment Adviser Applications (PDF)
Be an Informed Investor:
For more information, take a look at our investor education brochures.
What Every Small Business Should Know About:
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
October 15, 2014