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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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Last Updated: June 30, 2009