Skip Maine state header navigation

Agencies | Online Services | Help

Skip First Level Navigation | Skip All Navigation

Forms

The forms listed below are available from the Office of Securities. If a form that you want is not available on line, please email us or call us at 207-624-8551, and we will send you the form(s).

Most forms are in PDF format. You can download the free Adobe Acrobat Reader now to access these files.

Broker-Dealer/Agent Licensing

Annual Certification For Manuals

Consent to Service of Process (U2) (PDF)

Corporate Resolutions (U2A) (PDF)

Form BD (PDF)

Form BDW (PDF)

Agent Form (U4) (PDF)

Agent Form Instructions (U4) (PDF)

Agent Termination Form(U5) (PDF)

Agent Termination Form Instructions (U5) (PDF)

Exams Form (U10) (PDF)

Business Opportunities

Surety Certification (PDF)

Investment Adviser/Investment Adviser Representative Licensing

Form ADV and instructions can be found at North American Securities Administrators website by clicking here (PDF)

Consent to Service of Process (U2) (PDF)

Corporate Resolutions (U2A) (PDF)

Agent Form (U4) (PDF)

Agent Form Instructions (U4) (PDF)

Agent Termination Form (U5) (PDF)

Agent Termination Form Instructions (U5) (PDF)

Exams Form (U10) (PDF)

Uniform Surety Bond Form (.doc)

Rescission Offers

Sample Rescission Letter - Unregistered Security

Sample Rescission Letter - Unlicensed Broker-Dealer

Legal Rate of Interest

Securities Registrations, Notifications, and Exemptions

Annual Certification For Manuals

Consent to Service of Process (U2) (PDF)

Corporate Resolutions (U2A) (PDF)

Coordination Application (U1)* (PDF)

Form D - Reg D Rules 506 or 4(2)(PDF)

Model Accredited Investor Exemption Form (PDF)

Form NF (PDF)

Coordinated Equity Review Form (PDF)

Maine Issuer Notification of Exemption Form - 16202(15) (PDF)

Maine Issuer Form Instructions

Regulation A Notice Filing Form (PDF)

Viatical or Life Settlement Exemption Form 16202(25)


Crowdfunding/ Fund-ME

Authorization of Credit Card Payment

Small Business

Small Company Offering:
See North American Securities Administators Association website:

NASAA-SCOR

Complaints

To file a complaint with the Office of Securities use our online complaint form

 

Last Updated: October 20, 2017