Site Map |

Search SEC:

Securities & Investment Regulation

• Home
• About us
• Check a Broker or Adviser
• Investor Education Brochures
• 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

Rules

Office of Securities Rules

2010-2011 Regulatory Agenda

Other Advisory Rulings

Series 79 (Investment Banking) Advisory Ruling

 

 

Last Updated: January 31, 2014

Consumer Tools

• Enforcement actions & consent agreements
• File a complaint
• Investor Education Brochures
• New in Investor Education: "Fraud Scene Investigator"
• Web resources for consumers
• Determining the Value of Stock Certificates

Industry Tools

• Web resources for Industry
• Licensing & Registration
• Forms
• FINRA Regulation
• File UICNF
• Laws, rules, & advisory rulings
• Small business help
• ME licensed IA's
  Switch Training Power Point

Featured

• New Data Breach Notification Law

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