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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

Notice of Risk to Personal Data Act

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Rules

Office of Securities Rules

2022-2023 Regulatory Agenda

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

Basis Statement for Rule Ch. 536

Final Rule Ch. 536

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Other Advisory Rulings

Series 79 (Investment Banking) Advisory Ruling

 

 

Last Updated: July 12, 2022

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