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