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Office of Securities

The Office of Securities will be closed Thursday, November 11th, 2021 in observence of Veterans Day.

Welcome! Although our building is not open to the public at this time, we are available to answer your questions, handle your complaints and deliver the high-quality services you as consumers and industry members expect and deserve.  Please contact us by email, phone or through our online services. We look forward to hearing from you. Contact Us

 

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: 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: October 18, 2021