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The Office of Securities protects Maine investors by investigating violations of the securities laws; licensing broker-dealers, agents, investment advisers, and investment adviser representatives; and reviewing registration statements and exemption filings for securities issuers that are seeking to sell in Maine.

We protect investors by vigorously enforcing the federal securities laws to hold wrongdoers accountable and deter future misconduct. We provide investor education and resources through our Office of Investor Education and Advocacy.

The Act empowers the SEC with broad authority over all aspects of the securities industry. This includes the power to register, regulate, and oversee brokerage firms, transfer agents, and clearing agencies as well as the nation's securities self regulatory organizations (SROs).

Small Company Offering Registration Form (Form U-7)

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You will find specific instructions on how to complete the Form in the SCOR Manual. An issuer's manual is available for download to help you complete the Form U-7 disclosure document.Consumers are encouraged to use our online form for complaints. The manual contains instructions for completing each Item. Items 41 - 48 — See Appendix 2 – Instructions for U-7. See Appendix 3 – Form U-7. Securities Offerings. This Manual has been prepared to help you complete the Form U7 Disclosure Document. A complete text of Exchange rules can be found online in the NYSE Listed Company Manual ("Listed Company. Manual"). Complete all boxes as appropriate, depending on the nature of the interest disposed.

Maine Issuer's Manual for Form U-7

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