Site Map |

Search SEC:

Securities & Investment Regulation

• Home
• About us
• Check a Broker or Adviser
• Check a Security Registration
• Investor Education
• Small business help
• Industry information
• Laws, rules & advisory rulings
• Employment Opportunities

• Department of Professional & Financial Regulation

OTHER PFR AGENCIES

• Professional Licensing
• Bureau of Consumer Credit Protection
• Insurance Regulation
• Financial Institutions

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

Notice of Risk to Personal Data Act

---

Rules

Office of Securities Rules

2023-2024 Regulatory Agenda

---

Amended Rule Ch. 536, Securities Manuals Effective May 8, 2021.

Basis Statement for Rule Ch. 536

Final Rule Ch. 536

---

Other Advisory Rulings

Series 79 (Investment Banking) Advisory Ruling

 

 

Last Updated: May 9, 2023

Consumer Tools

• Enforcement actions & consent agreements
• File a complaint
• Investor Education
• Web resources for consumers
• Determining the Value of Stock Certificates

Industry Tools

• The Maine Office Of Securities Cybersecurity Guideline 2018
• Web resources for Industry
• Manual exemption annual certifications
• Licensing & Registration
• Forms
• FINRA Regulation
• Laws, rules, & advisory rulings
• Small business help
• ME licensed IA's
  Switch Training Power Point
• Legal Rate of Interest

 

Email Updates

To sign up for updates from the Office of Securities or to access your subscriber preferences, please enter your email address below.

1. Email Address

Maine.gov | Professional and Financial Regulation | Privacy | Accessibility | Disclaimer