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 Monday, May 27th in observance of Memorial Day.
Regarding Exam Fees for the Series 63, 65 and 66.
Effective June 1, 2013, the enrollment fees for the Series 63, 65, and 66 examinations will increase. Candidates enrolling for the Series 63, 65, or 66 on or after June 1, 2013, will be charged the following:
Be an Informed Investor:
What Every Small Business Should Know About:
Maine Licensed Investment Advisors
Switch Training Power Point
American Sign Language Videocast of the SEC Investor Alert
on the Imperia Invest IBC case.
Recent Investor Education Publications
Hard copies of all investor education publications and more are available by contacting the Office of Securities at 1-877-624-8551
News and Alerts
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
Office of Securities and Attorney General's Office Announce Sentencing of Former Stockbroker in Theft and Securities Fraud Case
Office of Securities Announces Conviction in Theft and Securities Fraud Case
Maine’s Office of Securities and Partners to Offer 'Outsmarting Financial Fraud and Elder Abuse’ Educational Sessions
Maine’s Office of Securities Issues Advisory to Warn Consumers about “Crowdfunding” Investments
May 14, 2013