Skip Maine state header navigation

Agencies | Online Services | Help

Skip First Level Navigation | Skip All Navigation> PFR Home > Securities Home Page >Manual Exemption Annual Certifications

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.

2018 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 will initiate rulemaking to remove Fitch from Ch. 536’s list of designated manuals. 


Last Updated: March 6, 2018