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Maine.gov> PFR Home > Securities Home Page > Securities Registration & Exemption Filings

Securities Registration and Exemption Filings

Consult our list of forms in order to register or file.

Registration by Coordination Requirements - Section 16303

Filing requirements:

  • Completed and manually-signed forms: U-1, U-2 & U-2-A.
  • Copy of Federal Registration Statement
  • $1000.00 per class or type of Security being offered in Maine.
Checks should be made payable to the Treasurer, State of Maine.

Registration by Qualification Requirements - Section 16304

  • Completed and manually-signed forms: U-1, U-2 & U-2-A.
  • Copy of offering document.
  • $1000.00 per class or type of Security being offered in Maine, unless the total amount being raised, both in-state and out-of-state, does not exceed $1,000,000.00, then the filing fee for each Security offered in Maine is $300.00.
  • Audited financial statements are not required.

Checks should be made payable to the Treasurer, State of Maine.

Limited Private Offering Transactions - Section 16202

Form D Notice Filing Requirements - Federal Rule 506/Section4(2) Sections 16302 (3) and 16202 (26)

  • Maine only accepts a Form D Filing for transactions exempt pursuant to Section 4(2) (Maine §16202 (26)) and notice filings pursuant to Rule 506 (Maine §16302 (3)).
  • Filing must be made no later than 15 days of the first sale in Maine.
  • Please indicate in your cover letter the date of the first sale in Maine.
  • Filing fee is $300.00 per type of security sold in Maine.
  • A consent to service of process complying with section 16611, signed by the issurer, except that if the Form D includes a consent to service of process, a separate document need not be filed for this purpose, and if the consent to service of process on the Form D is executed in a manner accepted by the Securities and Exchange Commission, it is deemed to comply with the requirement in this section and in section 16611, subsection 1 that the consent be signed; and [2009, c. 500, §3 (AMD).]
  • Late filers, up to 30 days after the first sale in Maine, shall pay a late filing fee of $500.00.

Checks should be made payable to the Treasurer, State of Maine.

Investment Company Notice Filing Requirements - Section 16302 (1)

Initial Filings

  • Cover Letter
  • Complete and manually signed Form NF
  • Signed and notarized Form U-2
  • $1000.00 filing fee for each class or type of security being offered

Renewal Filings

  • Cover Letter
  • Form NF
  • $1000.00 filing fee for each class or type of security being renewed

Name Changes

  • Cover Letter
  • Form NF
  • Signed and notarized Form U-2

The State of Maine no longer requires the following:
  • Statement of additional information
  • Post effective amendment
  • Prospectus, supplements, annual reports, semi-annual reports, monthly reports, sales literature

Maine does, however, reserve the right to request any documents filed with the Securities and Exchange Commission.

Checks should be made payable to the Treasurer, State of Maine.

 

Last Updated: June 17, 2013