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Laws, Rules & Advisory Rulings

The Office of Securities provides access to the rules and regulations that protect investors in Maine.

Laws

Maine Uniform Securities Act, Title 32, Chapter 135

• PDF format

Regulations of the Sale of Business Opportunities, Title 32, Chapter 69-B

Maine Commodity Code, Maine Revised Statue Title 32, Chapter 111-A

• PDF format

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Rules

Office of Securities Rules

2017-2018 Regulatory Agenda

Recent Rulemaking

• Notice of Adoption of Rule
• Regulation A Tier 2 Notice Filings and Fees Rule
• Regulation A Tier 2 Notice Filing Form
• Small Business Impact Statement

• Notice of Adoption of Rule
• Notice of Rulemaking
• Proposed Amendment to Rule 541
• Small Business Impact Statement

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Other Advisory Rulings

Series 79 (Investment Banking) Advisory Ruling

 

 

Last Updated: March 6, 2018

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