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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 Thursday and Friday, November 22nd and 23rd in observance of the Thanksgiving Holiday!


 

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: The Securities Administrator Issues Interim Order Requiring Compliance with Updated FINRA Examination Requirements

 

The Securities Administrator has issued an Interim Order requiring applicants who rely on FINRA examinations for licensure in Maine to comply with the updated FINRA examination requirements that went into effect on October 1, 2018. The Order clarifies that compliance with FINRA's current examination structure is required until rulemaking that updates Maine's licensing rules can be completed. A copy of the Order and a link to FAQs are below.

ALERT: Rule Requiring Notice Filings and Fees for Federal Crowdfunding Offerings is Effective as of June 16, 2017.

Below are the Basis Statement, the Final Rule, and Form U-CF, the uniform form for the notice filing.

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.

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

  • Maine Securities Administrator Finalizes $19.4 Million Agreement with Merrill Lynch Regarding Maine’s 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
  • Maine’s 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
  • In Highlighting Elder Abuse Awareness Day, Governor LePage and State Officials Urge Mainers to Report Suspected Cases of Abuse
  • Governor and Department of Professional and Financial Regulation Highlight Upcoming 'Fostering Financial Education in Maine Schools’ Conference
  • State Officials Announce Sentencing in Case of Securities Fraud, Forgery and Other Crimes
  • Maine President of International Securities Organization Announces Annual List of Top Investment Threats and Scams--Investors Urged to Approach Unsolicited Offers with Caution
  • Last Updated: November 13, 2018