Maine Securities Enforcement Actions and Administrative Orders
Summary
The Maine Office of Securities and Investment Regulation provides a list of its administrative orders and enforcement actions. This page serves as a central repository for these documents, including orders related to broker-dealer inspections and exemptions for private fund advisors.
What changed
The Maine Office of Securities and Investment Regulation maintains a webpage listing its administrative orders and enforcement actions. The page includes links to specific orders, such as one superseding a previous order regarding on-site broker-dealer inspections, an interim order exempting certain venture capital and private fund advisors from licensing, and an order regarding fees for furnishing records.
This page is primarily informational for regulated entities and legal professionals. While it does not impose new obligations, it serves as a resource for understanding past enforcement actions and administrative decisions. Compliance officers should periodically review this page to stay informed about regulatory activities and interpretations within Maine's securities market, particularly concerning broker-dealer operations and investment advisor exemptions.
Source document (simplified)
State Search: Agencies | Online Services | Help Page Tools Page Tools Map addresses En español En français English Skip First Level Navigation | Skip All Navigation
| Home | Contact Us | Careers | Calendar | 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
OTHER PFR AGENCIES
- Professional Licensing
- Bureau of Consumer Credit Protection
- Insurance Regulation
- Financial Institutions | Maine.gov > PFR Home > Securities Home Page > Administrative Orders by Date # General Administrative Orders - Arranged by Date
General
| April 26, 2021 | Order Superseding Order No. 2020-45 Regarding the Resumption of On-Site Broker-Dealer Inspections of Branch Offices in Maine | |
| February 16, 2012 | Interim Order Exempting Certain Venture Capital And Other Private Fund Advisors From Investment Advisor Licensing Requirements | |
| September 11, 2007 | Fees for Furnishing Records | |
| | | |
Last Updated: May 14, 2025 10:56 AM | April 26, 2021 | Order Superseding Order No. 2020-45 Regarding the Resumption of On-Site Broker-Dealer Inspections of Branch Offices in Maine | | February 16, 2012 | Interim Order Exempting Certain Venture Capital And Other Private Fund Advisors From Investment Advisor Licensing Requirements | | September 11, 2007 | Fees for Furnishing Records | | | | | #### 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 |
| April 26, 2021 | Order Superseding Order No. 2020-45 Regarding the Resumption of On-Site Broker-Dealer Inspections of Branch Offices in Maine | | | | | | | | | | | | | |
| February 16, 2012 | Interim Order Exempting Certain Venture Capital And Other Private Fund Advisors From Investment Advisor Licensing Requirements | | | | | | | | | | | | | |
| September 11, 2007 | Fees for Furnishing Records | | | | | | | | | | | | | |
| | | | | | | | | | | | | | | |
| Maine.gov | Professional and Financial Regulation | Privacy | Accessibility | Disclaimer |
| | Copyright
©
2006 All rights reserved. | |
Related changes
Source
Classification
Who this affects
Taxonomy
Browse Categories
Get Securities & Markets alerts
Weekly digest. AI-summarized, no noise.
Free. Unsubscribe anytime.
Get alerts for this source
We'll email you when enforcement.shtml publishes new changes.