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Manual Exemption Annual Certifications

A “manual exemption” from Maine’s securities registration requirements is found at 32 M.R.S.A. § 16202(2). Use of the exemption requires publication in “nationally recognized securities manuals, or their electronic equivalent.” Office of Securities Rules, Ch. 536 identifies the manuals designated for use with Maine’s manual exemption. The rule also requires each designated manual to submit to the Office of Securities an annual certification confirming that the manual contains the information required to comply with the manual exemption. Links to the certifications can be found below.

2023 Manual Exemption Annual Certification Forms:



*Fitch’s securities manual is currently listed in Ch. 536 as a designated manual, but Fitch has notified Maine that it no longer publishes a securities manual. The Office has proposed amending Ch. 536 to remove Fitch from the list of designated manuals.  More information can be found on the front page of the Office’s website.

Last Updated: April 24, 2024