Massachusetts · Regulations
950 CMR 12.200 — Registration of broker-dealer, agents, investment adviser, investment adviser representatives and notice filing procedures for federal covered advisers
7 sections
7 sections
- 950 CMR 12.201Broker-dealer/Agent Registration Requirements
- 950 CMR 12.202Broker-dealer/Agent Registration Procedures
- 950 CMR 12.203Post-registration Requirements
- 950 CMR 12.204Denial, Revocation, Suspension, Cancellation and Withdrawal of Registration
- 950 CMR 12.205Investment Advisers and Federal Covered Advisers
- 950 CMR 12.206Funding Portal Notice Filing
- 950 CMR 12.207Fiduciary Duty of Broker-dealers and Agents