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Office of Securities

The Office of Securities protects Maine investors by investigating and prosecuting violations of the securities laws; licensing broker-dealers, agents, investment advisers, and investment adviser representatives; and reviewing registration statements and exemption filings for securities issuers that are seeking to sell in Maine.

The Office of Securities will be closed Monday, February 20, in observance of Presidents' Day.


ALERT: Standard & Poor's Securities Manual Is No Longer In Publication.

 

Standard & Poor's has stopped publishing its Standard Corporation Records securities manual. Although Maine Office of Securities Rules Chapter 536 designates Standard & Poor's manuals for use with the "manual exemption" under 32 M.R.S. 16202(2)(D), the Standard Corporation Records manual is no longer being maintained and, therefore, may no longer be used with the exemption. The Office of Securities is in the process of updating the language of its rule.


ALERT: 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 http://www.maine.gov/pfr/securities/laws_rules.htm


Maine’s crowdfunding rule went live on January 1, 2015! Below is the new rule and the documents Maine businesses will need to take advantage of the Fund-ME funding opportunity.


Resources for Fund-ME Filers


Industry Guidance


INVESTOR ALERT
Be an Informed Investor:


For more information, take a look at our investor education brochures.


What Every Small Business Should Know About:

 


News and Alerts

  • Maine’s Office of Securities Announces First Fund-ME Crowdfunding Offering in Maine -- Fund-ME Provides New and Existing Businesses with Opportunity to Obtain Investments Needed to Start or Expand Operations
  • In Highlighting Elder Abuse Awareness Day, Governor LePage and State Officials Urge Mainers to Report Suspected Cases of Abuse
  • Governor and Department of Professional and Financial Regulation Highlight Upcoming 'Fostering Financial Education in Maine Schools’ Conference
  • State Officials Announce Sentencing in Case of Securities Fraud, Forgery and Other Crimes
  • Maine President of International Securities Organization Announces Annual List of Top Investment Threats and Scams--Investors Urged to Approach Unsolicited Offers with Caution
  • Office of Securities Promotes Crowdfunding Opportunity for New or Expanding Businesses in Maine
  • Office of Securities and Bureau of Insurance Announce Guilty Plea in Securities Fraud, Forgery and Theft Case
  • Maine Securities Administrator To Head International Organization
  • Maine Office of Securities Seeks Help Locating Robert J. Howarth
  • In Highlighting Elder Abuse Awareness Day, Governor LePage and State Officials Urge Mainers to Report Suspected Cases of Abuse
  • Maine Office of Securities Shines Light on Broker-Dealer Fees
  • Governor and State Financial Agencies Promote “America Saves Week” and “Military Saves Week”
  • Maine Securities Administrator Selected to Head International Organization
  • Maine Office of Securities Announces Actions to Bar Resident from Securities Industry
  • Office of Securities Implements Crowdfunding in Maine: New Rule Will Make it Easier for Small Businesses to Raise Capital
  • Maine’s Securities Administrator Orders InteliCloud, Tech Financial Group, and Others to Cease and Desist Offering or Selling Unregistered Securities in Maine
  • Maine Office of Securities Announces Fee Reductions and New Online Resource
  • Securities Survey Finds Mid-Sized Investment Advisers in Maine Addressing Cybersecurity Risks
  • In Highlighting Elder Abuse Awareness Day, State Officials Urge Mainers to Report Suspected Cases of Abuse
  • Maine Office of Securities Issues Investor Advisory on Virtual Currency: It pays to know what’s in your e-Wallet
  • Governor LePage and Coalition of Government, Nonprofit, and Business Leaders Announce Fifth Annual Conference: ‘Fostering Financial Literacy in Maine Schools’
  • Office of Securities Seeking Information from Residents Involved in Sea Hunters Investment
  • Governor, Department and Maine Council for Elder Abuse Prevention Announce Launch of First-in-Nation Training Program for Financial Institutions
  • Last Updated: January 17, 2017