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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, May 28th in observance of Memorial Day.

 

CHECKLIST FOR LAWYERS: ELDER INVESTMENT FRAUD AND FINANCIAL EXPLOITATION TOOL

 

Lawyers are often uniquely positioned to identify when an older client might be subjected to elder investment fraud or financial exploitation. This checklist developed by the Investor Protection Institute, the Investor Protection Trust, and the American Bar Association Commission on Law and Aging for use by the Office of Securities provides a tool lawyers can use to screen clients, identify red flags and possible exploitation, and report to appropriate government agencies and law enforcement or refer the client to community based resources

[CHECKLIST]

ALERT: Proposed Rulemaking to Require Notice Filings and Fees for Federal Crowdfunding Offerings.

The Maine Office of Securities is accepting written comments on a proposed rule to require notice filings and fees for certain federal Regulation Crowdfunding offerings. A hearing on the proposal has not been scheduled, although a hearing will be held if requested by five or more interested persons, as required by 5 M.R.S. § 8052(1). Written comments on the proposal, or requests for a hearing, may be submitted to Judith M. Shaw, Securities Administrator, Maine Office of Securities, 121 State House Station, Augusta, ME 04333-0121 and must be received no later than 4:30 p.m. on Monday, April 30, 2018.

ALERT: Updates to Maine's Crowdfunding Rule Are Effective as of July 2, 2017.

Below are the updated rule and the documents Maine businesses need to take advantage of Fund-ME.

ALERT: Updates to Maine’s Securities Manuals Rule Are Effective as of July 2, 2017.

Below are the updated Securities Manuals rule and additional information related to Maine's manual exemption.

Resources for Fund-ME Filers

Industry Guidance

INVESTOR ALERT
Be an Informed Investor:


For more information, take a look at our investor education brochures.

What Every Small Business Should Know About:

 

News and Alerts

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Last Updated: April 17, 2018