Code of Massachusetts Regulations
950 CMR - OFFICE OF THE SECRETARY OF THE COMMONWEALTH
Title 950 CMR 12.200 - Registration of Broker-Dealer, Agents, Investment Adviser, Investment Adviser Representatives and Notice of Filing Procedures for Federal Covered Advisers
- Section 12.201 - Broker-dealer/Agent Registration Requirements
- Section 12.202 - Broker-dealer/Agent Registration Procedures
- Section 12.203 - Post-registration Requirements
- Section 12.204 - Denial, Revocation, Suspension, Cancellation and Withdrawal of Registration
- Section 12.205 - Investment Advisers and Federal Covered Advisers
- Section 12.206 - Funding Portal Notice Filing
- Section 12.207 - Fiduciary Duty of Broker-dealers and Agents
Current through Register 1531, September 27, 2024
REGULATORY AUTHORITY
950 CMR 12.200: M.G.L. c. 110A, § 412(a).
Disclaimer: These regulations may not be the most recent version. Massachusetts may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
