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Securities & Investment Regulation
OTHER PFR AGENCIES
Small Business Help
One of the important missions of the Office of Securities is to promote small business capital formation. When a small business seeks to raise capital through the sale of securities, it must either register those securities with the Office of Securities under Subchapter 3 of the Maine Uniform Securities Act or qualify for an exemption from registration under Subchapter 2, §16202 of the Act.
Because small business capital formation often presents regulatory issues that are different from those of larger companies, the Office of Securities has professional staff available to assist in the process. If your business is considering an offer and sale of securities, we encourage you to consult with our staff about the options available to you.
Last Updated: October 29, 2014
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