Securities & Investment Regulation

• Home
• About us
• Check a Broker or Adviser
• Check a Security Registration
• Investor Education Brochures
• Small business help
• Industry information
• Laws, rules & advisory rulings
• Employment Opportunities

• Department of Professional & Financial Regulation

OTHER PFR AGENCIES

• Professional Licensing
• Bureau of Consumer Credit Protection
• Insurance Regulation
• Financial Institutions

Office of Securities

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.

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.

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.

Consumer Tools

• Enforcement actions & consent agreements
• File a complaint
• Investor Education Brochures
• Web resources for consumers
• Determining the Value of Stock Certificates

Industry Tools

• Web resources for Industry
• Manual exemption annual certifications
• Licensing & Registration
• Forms
• FINRA Regulation
• Laws, rules, & advisory rulings
• Small business help
• ME licensed IA's
  Switch Training Power Point
• Legal Rate of Interest

Featured

• The Maine Office Of Securities Cybersecurity Guideline 2018
• Notice of Risk to Personal Data Act
• Checklist for Lawyers: Elder Investment Fraud and Financial Exploitation Tool