Licensing and Registration
The primary responsibility of the Maine Office of Securities is to enforce the Maine Uniform Securities Act (the “Act”). It provides the statutory basis for the registration of securities and the licensing of broker-dealers, agents, investment advisers, and investment adviser representatives in Maine.
Licensing Fee Schedule
Broker Dealer/Agent Licensing
NASD Broker Dealer/Agent Requirements
Bank and Brokerage Selling Agreements
Broker-Dealer Examinations-Common Deficiencies (PDF)
Investment Adviser Licensing
Investment Adviser Licensing Rule (Chapter 515) (PDF)
Investment Adviser Representative Fingerprinting Requirement
Investment Adviser Examinations - Common Deficiencies (PDF)
Branch Office Licensing
Branch Office Licensing
Securities Registration and Exemption Filings
Securities registration and exemption filings
Last Updated:
April 28, 2008
