Securities Registration and Exemption Filings
Consult our list of forms in order to register or file.
Registration by Coordination Requirements -
Section 16303
Filing requirements:
- Completed and manually-signed forms: U-1, U-2 & U-2-A.
- Copy of Federal Registration Statement
- $1000.00 per class or type of Security being offered in Maine.
Checks should be made payable to the Treasurer, State of Maine.
Registration by Qualification Requirements -
Section 16304
- Completed and manually-signed forms: U-1, U-2 & U-2-A.
- Copy of offering document.
- $1000.00 per class or type of Security being offered in Maine, unless the total amount being raised, both in-state and out-of-state, does not exceed $1,000,000.00, then the filing fee for each Security offered in Maine is $300.00.
- Audited financial statements are not required.
Checks should be made payable to the Treasurer, State of Maine.
Limited Private Offering Transactions - Section 16202
Form D Notice Filing Requirements - Federal Rule 506/Section4(2)
Sections 16302 (3) and 16202 (26)
- Maine only accepts a Form D Filing for transactions exempt pursuant to Section 4(2) (Maine §16202 (26)) and notice filings pursuant to Rule 506 (Maine §16302 (3)).
- Filing must be made no later than 15 days of the first sale in Maine.
- Filing fee is $300.00 per type of security sold in Maine.
- Maine requires submission of the entire Form D, including the State Appendix. Any sales that have been made in Maine at the time of filing must be reflected on the State Appendix.
- Maine requires an original signature on the State Signature page of the Form D (no photocopies of signatures).
- The U-2, Consent to Service of Process, must designate the Securities Administrator for service of process in the State of Maine, and must be manually signed and notarized.
- Late filers, up to 30 days after the first sale in Maine, shall pay a late filing fee of $500.00.
Checks should be made payable to the Treasurer, State of Maine.
Investment Company Notice Filing Requirements -
Section 16302 (1)
Initial Filings
- Cover Letter
- Complete and manually signed Form NF
- Signed and notarized Form U-2
- $1000.00 filing fee for each class or type of security being offered
Renewal Filings
- Cover Letter
- Form NF
- $1000.00 filing fee for each class or type of security being renewed
Name Changes
- Cover Letter
- Form NF
- Signed and notarized Form U-2
The State of Maine no longer requires the following:
- Statement of additional information
- Post effective amendment
- Prospectus, supplements, annual reports, semi-annual reports, monthly reports, sales literature
Maine does, however, reserve the right to request any documents filed with the Securities and Exchange Commission.
Checks should be made payable to the Treasurer, State of Maine.
Last Updated:
April 10, 2009
