Agency:
Maine Securities Division
State House Station 121
Bureau of Banking
Augusta, ME 04333
(207) 624-8551 Phone
(207) 624-8590 Fax
http://www.state.me.us/pfr/sec/sechome2.htm (website)

Dealer Requirements: Dealers must register with the state using a Form U-4 and the payment of a $200 registration fee. The State Securities Commissioner reserves the judgment to impose an examination requirement.

Filing Fees: Filing Fees are $500 for each security offered. If the amount to be raised does not exceed $1,000,000, the fee is $300.

Official Recognition: Yes

Forms: Completion of Form U-1 and Form U-7. Also Forms U-2 and U-2A

Date Last Modified: 2/3/97

Regulatory Contact:

Contact:
Maine Securities Division

Address:
State House Station 121, Bureau of Banking
Augusta ME 04333

Phone:
(207) 624-8551

Fax:
(207) 624-8590

Website:
http://www.state.me.us/pfr/sec/sechome2.htm

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