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
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
Rules
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
