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
• Employment Opportunities

• Department of Professional & Financial Regulation

OTHER PFR AGENCIES

• Professional Licensing
• Bureau of Consumer Credit Protection
• Insurance Regulation
• Financial Institutions

Manual Exemption Annual Certifications

A “manual exemption” from Maine’s securities registration requirements is found at 32 M.R.S.A. § 16202(2). Use of the exemption requires publication in “nationally recognized securities manuals, or their electronic equivalent.” Office of Securities Rules, Ch. 536 identifies the manuals designated for use with Maine’s manual exemption. The rule also requires each designated manual to submit to the Office of Securities an annual certification confirming that the manual contains the information required to comply with the manual exemption. Links to the most recent certifications can be found below.

Manual Exemption Annual Certification Forms:

• Mergent, Inc.

• OTC Markets Group, Inc.

 

Last Updated: June 10, 2026

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

Maine.gov | Professional and Financial Regulation | Privacy | Accessibility | Disclaimer