Maine's 2012 licensing renewal procedures through the CRD and IARD are provided.
The Maine Office of Securities will be hosting two seminars for SEC registered investment advisers switching to State registration as mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act. The seminars will be on Tuesday, October 18, 2011 in Gardiner and Monday, October 24, 2011 in Portland. For more information or to register, please contact Dona Garippa at 1-877-624-8551 or email Dona.L.Garippa@maine.gov.