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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, November 12th in observance of Veterans' Day!




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


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

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
  • Office of Securities Promotes Crowdfunding Opportunity for New or Expanding Businesses in Maine
  • Office of Securities and Bureau of Insurance Announce Guilty Plea in Securities Fraud, Forgery and Theft Case
  • Maine Securities Administrator To Head International Organization
  • Maine Office of Securities Seeks Help Locating Robert J. Howarth
  • In Highlighting Elder Abuse Awareness Day, Governor LePage and State Officials Urge Mainers to Report Suspected Cases of Abuse
  • Maine Office of Securities Shines Light on Broker-Dealer Fees
  • Governor and State Financial Agencies Promote “America Saves Week” and “Military Saves Week”
  • Maine Securities Administrator Selected to Head International Organization
  • Maine Office of Securities Announces Actions to Bar Resident from Securities Industry
  • Office of Securities Implements Crowdfunding in Maine: New Rule Will Make it Easier for Small Businesses to Raise Capital
  • Maine’s Securities Administrator Orders InteliCloud, Tech Financial Group, and Others to Cease and Desist Offering or Selling Unregistered Securities in Maine
  • Maine Office of Securities Announces Fee Reductions and New Online Resource
  • Securities Survey Finds Mid-Sized Investment Advisers in Maine Addressing Cybersecurity Risks
  • In Highlighting Elder Abuse Awareness Day, State Officials Urge Mainers to Report Suspected Cases of Abuse
  • Maine Office of Securities Issues Investor Advisory on Virtual Currency: It pays to know what’s in your e-Wallet
  • Governor LePage and Coalition of Government, Nonprofit, and Business Leaders Announce Fifth Annual Conference: ‘Fostering Financial Literacy in Maine Schools’
  • Office of Securities Seeking Information from Residents Involved in Sea Hunters Investment
  • Governor, Department and Maine Council for Elder Abuse Prevention Announce Launch of First-in-Nation Training Program for Financial Institutions
  • Last Updated: October 15, 2018