Securities & Investment Regulation

• Home
• About us
• Check a Broker or Adviser
• Investor Education Brochures
• 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

Employment Opportunities

None at this time

Bureau of Human Resources:

Last Updated: January 28, 2013

Consumer Tools

• Enforcement actions & consent agreements
• File a complaint
• Investor Education Brochures
• New in Investor Education: "Fraud Scene Investigator"
• Web resources for consumers
• Determining the Value of Stock Certificates

Industry Tools

• Web resources for Industry
• Licensing & Registration
• Forms
• FINRA Regulation
• File UICNF
• Laws, rules, & advisory rulings
• Small business help
• ME licensed IA's
  Switch Training Power Point

Featured

• New Data Breach Notification Law