Skip Maine state header navigation

Agencies | Online Services | Help

Skip First Level Navigation | Skip All Navigation> PFR Home > Securities Home Page

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 Thursday & Friday November 27th and 28th, 2014, in observance of the Thanksgiving Holiday.

Industry Guidance

Unlicensed Activity (PDF)

Avoiding Common Deficiencies Found in Investment Adviser Applications (PDF)

Be an Informed Investor:

What is Virtual Currency?

Financial Service Providers

Private Placements


For more information, take a look at our investor education brochures.

What Every Small Business Should Know About:



News and Alerts

  • Maine’s Securities Administrator Orders InteliCloud, Tech Financial Group, and Others to Cease and Desist Offering or Selling Unregistered Securities in Maine
  • Maine Office of Securities Announces Fee Reductions and New Online Resource
  • 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
  • Last Updated: November 18, 2014