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Office of Securities

The Office of Securities will be closed Wednesday, December 25th, 2024 in observance of Christmas.

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 by email or phone or take advantage of the many online services available on this page.

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 by calling us at (207) 624-8551.

We look forward to hearing from you.

 

INFORMATION FOR FORM D FILERS

AS OF AUGUST 1, 2023, THE MAINE OFFICE OF SECURITIES PARTICIPATES IN NASAA'S ELECTRONIC FILING DEPOSITORY (EFD). TO LEARN MORE ABOUT EFD OR MAKE AN ONLINE FORM D SUBMISSION, VISIT NASAA'S EFD WEBSITE: https://efdnasaa.org/


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: December 4, 2024