Skip Maine state header navigation

Agencies | Online Services | Help

Skip First Level Navigation | Skip All Navigation

Maine.gov> PFR Home > Securities Home Page > Laws, Rules & Advisory Rulings

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


Rules

Office of Securities Rules

2018-2019 Regulatory Agenda

Recent Rulemaking

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: October 15, 2018