Forms
The forms listed below are available from the Office of Securities. If a form that
you want is not available on line, please email us
or call us at 207-624-8551, and we will send you the form(s).
Most forms are in PDF format. You can now to access these files.
Broker-Dealer/Agent Licensing
Annual Certification For Manuals
(PDF)
(PDF)
(PDF)
(PDF)
(PDF)
(PDF)
(PDF)
(PDF)
(PDF)
Business Opportunities
Surety Certification (PDF)
Investment Adviser/Investment Adviser Representative Licensing
(PDF)
(PDF)
(PDF)
(PDF)
(PDF)
(PDF)
(PDF)
(PDF)
(.doc)
Rescission Offers
Sample Rescission Letter - Unregistered Security
Sample Rescission Letter - Unlicensed Broker-Dealer
Legal Rate of Interest
Securities Registrations, Notifications, and Exemptions
Annual Certification For Manuals
(PDF)
(PDF)
* (PDF)
(PDF)
(PDF)
(PDF)
Coordinated Equity Review Form (PDF)
fb88 Issuer Notification of Exemption Form - 16202(15) (PDF)
fb88 Issuer Form Instructions
Regulation A Notice Filing Form (PDF)
Federal Crowdfunding
Complaints
To file a complaint with the Office of Securities use our
online complaint form
Last Updated:
March 24, 2025
