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Office of Securities

The Office of Securities will be closed Monday, January 20th, 2025 in observance of Martin Luther King, Jr. Day.

Welcome! The Office of Securities staff is available during business hours (Monday through Friday, from 8:00am-5:00pm) to answer questions, respond to complaints and tips, and deliver high-quality services to consumers and industry members alike. Please contact us or take advantage of the many online services available on this page.

 

Please note that agencies within the Department of Professional and Financial Regulation are currently experiencing technical issues with our phone system, resulting in long wait times and challenges accessing voicemail. We apologize for the inconvenience. While we work to resolve this problem, please consider contacting a member of our team directly by email. Thank you for your patience.

The Office of Securities is also open to the public during business hours. To ensure that someone is available to assist you, we recommend that you schedule an appointment in advance.

We look forward to hearing from you.

 

INFORMATION FOR FORM D FILERS

 

Form D filers who use the North American Securities Administrators Association Electronic Filing Depository™ (“EFD”) please be advised that the system will be offline and unavailable to all filers and regulators from January 1st through January 5th. If your filing is due during those dates, please file on or before midnight, December 31, 2024.

  • The EFD will be updated and migrated to a new website, nasaaefd.org.
  • EFD services will be offline and unavailable to all filers and regulators after midnight Eastern Time December 31, 2024, through 9 a.m. Eastern Time January 6, 2025.
  • NASAA will migrate all usernames and passwords to the new site. EFD users will not need to update or change their credentials.
  • Starting January 6, 2025, EFD Support staff can be reached at 1-800-378-5007 or support@nasaaefd.org.

Additional information is available in the NASAA news release, available at NASAA Announces Upcoming Changes to the Electronic Filing Depository.

If you must make a filing during this timeframe that you would otherwise file through EFD, you may still file in paper with payment by check.  Forms are available at https://www.maine.gov/pfr/securities/forms.htm

 If you have questions or concerns, please contact Paige Turney by email at meredith.p.turney@maine.gov) or phone (207-624-8593).

 

ALERT: New Law Becomes Effective: An Act to Protect Vulnerable Adults from Financial Exploitation

An Act to Protect Vulnerable Adults from Financial Exploitation was signed into law on April 2, 2019, and became effective on September 19, 2019. The law requires "qualified individuals," who include Broker-Dealer Agents, Investment Adviser Representatives, and people who serve in a supervisory, compliance, or legal capacity for a Broker-Dealer or Investment Adviser, to report to the Office of Securities and to Adult Protective Services suspected cases of financial exploitation of a vulnerable adult. Firms may delay disbursements believed to be in furtherance of financial exploitation and may disclose information to a third-party previously designated by the vulnerable adult. Firms are provided immunity from administrative and civil liability for actions consistent with the law. A copy of the law is available here.

ALERT: Amended Rule Ch. 510, Broker-Dealers, Investment Advisers, and Others Using the Internet for General Dissemination of Information about Securities Products and Services Effective June 13, 2021.

Below are the Basis Statement and the Final Rule.

INVESTOR ALERT
Be an Informed Investor:


For more information, take a look at our investor education brochure

What Every Small Business Should Know About:

Resources for Fund-ME Filers

Industry Guidance

 

 

News and Alerts

  • Attorney General and Securities Administrator Warn Public About New Phone Scam
  • Maine Securities Administrator Joins with CFTC to Charge Precious Metals Dealers in $185 Million Scheme Targeting Elderly Investors
  • Maine Supreme Court Affirms Convictions in Elder Financial Exploitation Case
  • Maine Securities Administrator Warns COVID-19-Related Investment Schemes Anticipated
  • Maine Securities Administrator Issues Order Providing Temporary Regulatory Relief For Financial Industry
  • Maine Securities Administrator Reminds Investors To Remain Calm During Market Volatility And Beware Of Con Artists
  • Maine Securities Administrator Announces Top Investor Threats For 2020
  • 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

    • Last Updated: January 9, 2025