• 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

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