Licensing and Registration
The primary responsibility of the Maine Office of Securities is to enforce the Maine Uniform Securities Act (the “Act”). It provides the statutory basis for the registration of securities and the licensing of broker-dealers, agents, investment advisers, and investment adviser representatives in Maine.
2022 Renewal Notice
Licensing Fee Schedule
2018 State Examination Fee Changes
Candidates enrolling for the Series 63, 65, or 66 on or after January 1, 2021, will be charged the following:
Examination Enrollment Fee
Series 63 $147
Series 65 $187
Series 66 $177
The above information is also posted on the NASAA website.
Broker Dealer/Agent Licensing
FINRA Broker Dealer/Agent Requirements
Bank and Brokerage Selling Agreements
Broker-Dealer Examinations-Common Deficiencies (PDF)
Investment Adviser/Representative Licensing
Avoiding Common Deficiencies Found in Investment Adviser Applications (PDF)
Switch Training Power Point
Investment Adviser Licensing Rule (Chapter 515) (PDF)
Investment Adviser Representative Fingerprinting Requirement
Investment Adviser Examinations - Common Deficiencies (PDF)
New Form ADV Part 2
Branch Office Licensing
Branch Office Licensing
Securities Registration and Exemption Filings
Securities registration and exemption filings
Last Updated:
April 19, 2024
