Skip Maine state header navigation

Agencies | Online Services | Help

Skip First Level Navigation | Skip All Navigation

Maine.gov> PFR Home > Securities Home Page

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 20th in observance of President's Day. Many services offered by the Office are always available on this website.

 

 

NEW

Maine Licensed Investment Advisors

Navigating Dodd-Frank:
New Regulatory Requirements For
Maine-Licensed Investment Advisers

Click here for materials presented at the October 2011 IA Switch Training

 

 

"Advice on how to recognize telemarketing scams from the U.S. Federal Trade Commission (FTC)"

 

Investor Education

 

NEW

Maine has joined a coalition of state securities regulators, health care professionals and adult protective services professionals to protect seniors from financial abuse through the Elder Investment Fraud and Financial Exploitation (EIFFE) Prevention Program. Details coming soon. To learn more about the national program, go to the EIFFE page at www.investorprotection.org//learn/?fa=eiffe

 

NEW

Our newest Investor Education Publication:"Self-Directed IRAs: What Every Investor Needs to Know" available online or by contacting the Office of Securities at
1-877-624-8551. (PDF)

 

"Gold: What Every Investor Needs to Know" is available online or in printed form by contacting our office at 1-877-624-8551. (PDF)

 

American Sign Language Videocast of the SEC Investor Alert on the Imperia Invest IBC case,

http://www.sec.gov/investor/alerts/imperia.htm

 

Please also see the 10/14/10 press release, Maine's Office of Securities Assists Federal Government In Crackdown on Scheme Targeting Deaf Consumers

 

 

News and Alerts

 

  • Office of Securities Announces Investment Scam Sentencing in Federal Court
  • Office of Securities Encourages Investing in Business Opportunities, But Alerts Consumers to Potential for Fraud in Certain Ventures
  • Office of Securities Announces Initiative to Combat Elder Financial Abuse
  • Governor and Office of Securities Join ‘National Call-In Day’ on November 10th to Highlight Elder Financial/Investment Abuse
  • Maine Office of Securities Announces IARD System Fee Waiver For Investment Adviser Firms and Representatives
  • Maine Securities Administrator Highlights Fraud Risk Posed by Self-Directed IRAs and Urges Investors to Use Caution
  • Sentence Announced in Advance-Fee Loan Scheme
  • Maine's Office of Securities Announces Statewide “Financial Wellness” Conference
  • Office of Securities Highlights State and Federal Action to Stop Scheme Targeting Deaf Investors
  • Maine’s Office of Securities Releases Annual List of Top Investor Traps
  • Maine’s Office of Securities Announces Conviction of California-based Scammer Who Defrauded Maine Investors
  • Department of Professional and Financial Regulation Highlights Efforts to Fight Exploitation of Seniors on Elder Abuse Awareness Day
  • Maine’s Office of Securities Takes Action Against the Unlicensed Sale of Unregistered Investment Products
  • Office of Securities Announces Improvements to System for Checking Financial Advisers’ Disciplinary Records
  • Teachers from Across State Given Tools and Resources to Foster Financial Literacy Education in Maine Schools
  • Maine Office of Securities Announces Restitution Totals for 2010: Individual Investors and Investment Firms Benefit

    • » All News and Alerts

     

    Last Updated: January 19, 2012