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Licensing and Registration

The primary responsibility of the Maine Office of Securities is to enforce the Maine Uniform Securities Act (the “Act”). It provides the statutory basis for the registration of securities and the licensing of broker-dealers, agents, investment advisers, and investment adviser representatives in Maine.

Licensing Fee Schedule

NEW 2015 Renewal Notice

Broker Dealer/Agent Licensing

FINRA Broker Dealer/Agent Requirements

Bank and Brokerage Selling Agreements

Broker-Dealer Examinations-Common Deficiencies (PDF)

Investment Adviser Licensing

NEW Avoiding Common Deficiencies Found in Investment Adviser Applications (PDF)

Switch Training Power Point

Investment Adviser Licensing Rule (Chapter 515) (PDF)

Investment Adviser Representative Fingerprinting Requirement

Investment Adviser Examinations - Common Deficiencies (PDF)

New Form ADV Part 2

Form ADV Part 2A Instructions

Form ADV Part 2B Instructions

Appendix Instructions

Branch Office Licensing

Branch Office Licensing

Securities Registration and Exemption Filings

Securities registration and exemption filings


Last Updated: December 5, 2014