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Office of Securities

The Office of Securities will be closed Friday, July 3rd, 2020 in observence of Independence Day.


Welcome to the website of the Maine Office of Securities, an agency within the Department of Professional and Financial Regulation. We appreciate your visit to our homepage and we look forward to assisting you.

Although our building in Gardiner, Maine is not open to the public due to the COVID-19 health emergency, our staff remains available to resolve your complaints, answer your questions, and continue to deliver high-quality services to consumers and regulated industries. Please contact us by email or by phone (207 624-8551) or through our other online services, and we will assist you.

Thank you, and we look forward to hearing from you. The staff of the Maine Office of Securities.


COVID-19 INFORMATION

Securities Administrator Judith Shaw has issued an Order providing temporary relief to the securities industry from certain regulatory obligations due to the coronavirus pandemic. A copy of the Order can be found here, and a related press release can be found here. Copies of the subsequent Orders extending the expiration date can be found here and here.

Additional Information:

Governor Mills' Plan "Restarting Maine's Economy" https://www.maine.gov/covid19/restartingmaine

Opening businesses, please check the Department of Economic and Community Development (DECD) website for information https://www.maine.gov/decd/home.

 

NEWS FLASH FOR FORM D FILERS!

WE ARE EXCITED TO ANNOUNCE OUR NEW ELECTRONIC FILING SYSTEM FOR FORM D.  SUBMIT YOUR FORM D ONLINE, PAY BY CREDIT CARD AND LEAVE THE REST TO US!  AS AN ADDED BONUS, THERE IS NO FEE FOR USING THE SYSTEM!

MAKE YOUR ONLINE SUBMISSION BY SELECTING "SUBMIT FORM D - Notice of Exempt Offering of Securities"

AT https://www1.maine.gov/cgi-bin/online/licensing/begin.pl?board_number=7022


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: Updates to Broker-Dealer and Agent Licensing and Investment Adviser Licensing Rules Effective as of December 14, 2019.

Below are the Basis Statements 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

  • 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: June 26, 2020