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 Monday, September 2nd, in observance of
Labor Day.
INVESTOR ALERT
Be an Informed Investor:
For more information, take a look at our investor education brochures.
ALERT: The Securities Administrator Issues Interim Order Requiring Compliance with Updated FINRA Examination Requirements
The Securities Administrator has issued an Interim Order requiring applicants who rely on FINRA examinations for licensure in Maine to comply with the updated FINRA examination requirements that went into effect on October 1, 2018. The Order clarifies that compliance with FINRA's current examination structure is required until rulemaking that updates Maine's licensing rules can be completed. A copy of the Order and a link to FAQs are below.
ALERT: Rule Requiring Notice Filings and Fees for Federal Crowdfunding Offerings is Effective as of June 16, 2017.
Below are the Basis Statement, the Final Rule, and Form U-CF, the uniform form for the notice filing.
Resources for Fund-ME Filers
Industry Guidance
What Every Small Business Should Know About:
News and Alerts
Military & Families Resource Fair
Maine Securities Administrator Announces 10 Year Sentence in Elder Financial Exploitation Case
Maine Securities Administrator Announces Conviction in Elder Financial Exploitation Case
Maine Securities Administrator Finalizes $19.4 Million Agreement with Merrill Lynch Regarding Maines NextGen College Investing Plan
Securities Administrator Reminds Investors to Approach Binary Options with Caution; Issues Cease and Desist Order Against Overseas Company
Maine Securities Administrator Announces Sentencing in Case of Theft and Securities Fraud
In Highlighting Elder Abuse Awareness Day, State Officials Urge Mainers to Report Suspected Cases of Financial Exploitation
Maines Office of Securities Announces First Fund-ME Crowdfunding Offering in Maine -- Fund-ME Provides New and Existing Businesses with Opportunity to Obtain Investments Needed to Start or Expand Operations
In Highlighting Elder Abuse Awareness Day, Governor LePage and State Officials Urge Mainers to Report Suspected Cases of Abuse
Governor and Department of Professional and Financial Regulation Highlight Upcoming 'Fostering Financial Education in Maine Schools Conference
State Officials Announce Sentencing in Case of Securities Fraud, Forgery and Other Crimes
Last Updated:
July 12, 2019
