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Office of Securities

The budget for Maine State Government requires all executive branch Departments, Agencies and Offices to be closed on July 6th, 2009. Many services offered by the Department of Professional and Financial Regulation are always available at www.maine.gov/pfr

 

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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Investor Information & Education

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News and Alerts

• Office of Securities' Investigations Lead to Indictments
• Governor, State Agencies and Private Organizations Recognize World Elder Abuse Awareness Day
• Securities Administrator Judith Shaw's interview on MPBN
• Auction Rate Securities Case Settlement Reached
• Use Caution Purchasing Gold or Silver on the Internet
• Securities Administrator Judith Shaw at Work--Consumer Protection High Priority
• Office of Securities issues warning on Almighty Wind, Inc.
• America Saves Week
• Office of Securities Obtains Restitution
• "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: June 30, 2009

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