Site Map |

Search SEC:

Securities & Investment Regulation

• Home
• About us
• Check a Broker or Adviser
• Check a Security Registration
• Investor Education
• Small business help
• Industry information
• Laws, rules & advisory rulings
• Employment Opportunities

• Department of Professional & Financial Regulation

OTHER PFR AGENCIES

• Professional Licensing
• Bureau of Consumer Credit Protection
• Insurance Regulation
• Financial Institutions

About the Office of Securities

The Office of Securities protects Maine investors by investigating 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.

Securities Administrator: Jesse A. Devine

What we can do for you

• We can help you with problems with your financial professional
• We can investigate your investment-related complaint and take legal action if appropriate, which may include seeking the return of your money
• We can tell you useful information about your financial professional or investment salesperson, including:
  • Is the person properly licensed?
  • Has the person had any past discipline or complaints?
  • Is the investment the person is selling something that can be sold lawfully in Maine?
• We can give you information to make you a better investor

Contact us

 

Last Updated: December 23, 2024

Consumer Tools

• Enforcement actions & consent agreements
• File a complaint
• Investor Education
• Web resources for consumers
• Determining the Value of Stock Certificates

Industry Tools

• The Maine Office Of Securities Cybersecurity Guideline 2018
• Web resources for Industry
• Manual exemption annual certifications
• Licensing & Registration
• Forms
• FINRA Regulation
• Laws, rules, & advisory rulings
• Small business help
• ME licensed IA's
  Switch Training Power Point
• Legal Rate of Interest

 

Email Updates

To sign up for updates from the Office of Securities or to access your subscriber preferences, please enter your email address below.

1. Email Address

Maine.gov | Professional and Financial Regulation | Privacy | Accessibility | Disclaimer