- Maine is a merit jurisdiction.
- Maine accepts the Uniform Application to Register Securities (Form U1), and allows for electronic signature of forms.
- Registration requires filing or delivery of:
- Filing fee
- Application form
- Financial statements
- A Consent to Service of Process (Form U2)
- SCOR filings require Form U7
- Short-Form Crowdfunding registrations require Form CF-ME
- Maine collects a fixed fee of $1,000 for each type or class of security offered, unless the total amount raised in state and out of state does not exceed $1,000,000, and then the fee is $300 for each type or class of security offered. . Fees should be payable to “Treasurer, State of Maine”. Payments should be sent to the following address:
|Mailing Address:||Courier Address:|
| Office of Securities
121 State House Station
Augusta, ME 04333
|Office of Securities
76 Northern Avenue
Gardiner, ME 04345
- For additional information, please visit the Office of Securities’ website at http://www.maine.gov/pfr/securities/, or contact them at 207-624-8593.