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Laws, Rules & Advisory Rulings

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


Maine Uniform Securities Act, Title 32, Chapter 135

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

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

Notice of Risk to Personal Data Act


Office of Securities Rules

2020-2021 Regulatory Agenda

2019-2020 Regulatory Agenda

Rulemaking Updates to Broker-Dealer and Agent Licensing and Investment Adviser Licensing Rules Effective as of December 14, 2019.
Updates to Maine's Securities Manuals Rule Are Effective as of July 2, 2017.
New Regulation A Tier 2 Filing and Fee Rule, Effective February 15, 2016.
Rulemaking regarding an Amendment to Rule 541, Initial and Annual Renewal Fees

Other Advisory Rulings

Series 79 (Investment Banking) Advisory Ruling



Last Updated: December 17, 2020