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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