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Forms

The forms listed below are available from the Office of Securities. If a form that you want is not available on line, please email us or call us at 207-624-8551, and we will send you the form(s).

Most forms are in PDF format. You can download the free Adobe Acrobat Reader now to access these files.

Broker-Dealer/Agent Licensing

Consent to Service of Process (U-2 & U-2a) (PDF)

Form BD (PDF)

Form BDW (PDF)

Salesperson Form (U-4) (PDF)

Salesperson Form Instructions (U-4) (PDF)

Agent Termination Form(U-5) (PDF)

Agent Termination Form Instructions (U-5) (PDF)

Exams Form (U-10) (PDF)

Business Opportunities

Surety Certification (PDF)

Investment Adviser/Investment Adviser Representative Licensing

Form ADV and instructions can be found at North American Securities Administrators website by clicking here (PDF)

Consent to Service of Process (U-2 & U-2a) (PDF)

Salesperson Form (U-4) (PDF)

Salesperson Form Instructions (U-4) (PDF)

Agent Termination Form(U-5) (PDF)

Agent Termination Form Instructions (U-5) (PDF)

Exams Form (U-10) (PDF)

Uniform Surety Bond Form (.doc)

Rescission Offers

Sample Rescission Letter - Unregistered Security

Sample Rescission Letter - Unlicensed Broker-Dealer

Legal Rate of Interest

Securities Registrations, Notifications, and Exemptions

Consent to Service of Process (U-2 & U-2a) (PDF)

Coordination Application (U-1)* (PDF)

Form D - Reg D Rules 506 or 4(2) (PDF)

Model Accredited Investor Exemption Form (PDF)

Form NF (PDF)

Coordinated Equity Review Form (PDF)

Maine Issuer Notification of Exemption Form - 16202(15) (PDF)

Maine Issuer Form Instructions

Viatical or Life Settlement Exemption Form 16202(25)


Crowdfunding/ Fund-ME

Authorization of Credit Card Payment

Small Business

Small Company Offering:
See North American Securities Administators Association website:

NASAA-SCOR

Complaints

To file a complaint with the Office of Securities use our online complaint form

 

Last Updated: December 23, 2014