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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.

 

The Office of Securities will be closed on Monday, May 27th in observance of Memorial Day.

 

Be an Informed Investor
Investor Alert:

Private Placements

Be an Informed Investor
Investor Alert:
Crowdfunding

What Every Small Business Should Know About:
Crowdfunding

Maine Licensed Investment Advisors

Switch Training Power Point

How to recognize telemarketing scams
(Video from the U.S. FTC)

 

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

    • Last Updated: May 6, 2013