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Small Business Help

One of the important missions of the Office of Securities is to promote small business capital formation. When a small business seeks to raise capital through the sale of securities, it must either register those securities with the Office of Securities under Subchapter 3 of the Maine Uniform Securities Act or qualify for an exemption from registration under Subchapter 2, 16202 of the Act.

Because small business capital formation often presents regulatory issues that are different from those of larger companies, the Office of Securities has professional staff available to assist in the process. If your business is considering an offer and sale of securities, we encourage you to consult with our staff about the options available to you.

Small Business Programs
This section provides information about various securities registration and exemption provisions in State law that are specifically designed for small businesses. You'll also find valuable links to other Web sites that can further assist you in understanding the securities registration process.

Frequently Asked Questions


New Regulation A Tier 2 Notice Filing and Fee Rule Effective February 15, 2016.


The Maine Office of Securities adopted a new rule requiring notice filings and fees for securities offered and sold in Maine under Tier 2 of Regulation A.  The rule’s Effective Date is February 15, 2016.  To find a Notice Filing Form and for more information, please visit the Office’s rulemaking page at




Last Updated: April 19, 2024