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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.

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News and Alerts

• Office of Securities issues warning on Almighty Wind, Inc.
• America Saves Week
• Office of Securities Obtains Restitution
• Consumers Warned About Debt Free Organic Pyramid Scheme
• "SEC Warns Senior Investors of the Perils of 'Free Lunch' Investment Seminars"
• Notice to State-Licensed Investment Advisers
• New Maine Uniform Securities Act Effective March 20, 2007
• New Rules Implementing Maine Uniform Securities Act

» All News and Alerts

 

Last Updated: November 6, 2008

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