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The list below includes only brochures published by the Maine Office of Securities and does not represent all the information resources available to investors and business owners. For additional reference materials, see our Helpful Links page.

The items listed here are available free of charge from the Office of Securities on request. Contact us if you would like one or more of the following sent to you.

  • Capitalizing Your Business With SCOR
  • This pamphlet provides an overview of the Small Company Offering Registration (SCOR) program, which is available to businesses selling up to $1,000,000 in securities. It outlines the qualifications for the program, the securities registration process, and methods for selling the securities after they are registered.

  • So, You Want To Go Public?
  • This brochure is a primer on the important considerations in deciding whether or not your company is ready to go public. It provides basic information on the decision to sell part of a business, the types of securities that can be offered, and the securities registration process.

  • A Brief Guide to Mutual Fund Investing
  • This brochure provides basic information about mutual funds. It describes mutual fund objectives and fee structures, and discusses important considerations in the selection of mutual funds.

  • What Every Investor Should Know
  • This booklet, published by the Investor Protection Trust, is a guide for helping investors avoid problems with financial professionals, including brokers and financial advisers. It also provides valuable information for resolving any problems which do occur.


Last Updated: August 7, 2020