| Date: | 03/06/2020 |
|---|---|
| Organization: | Office of the Secretary of the Commonwealth |
| Regulatory Authority: | MGL c. 110A, § 412(a) |
| Official Version: | Purchase the official version |
950 CMR 12.200 includes:
12.201: Broker-dealer/Agent Registration Requirements
12.202: Broker-dealer/Agent Registration Procedures
12.203: Post-registration Requirements
12.204: Denial, Revocation, Suspension, Cancellation, and Withdrawal of Registration
12.205: Investment Advisers and Federal Covered Advisers
12.206: Funding Portal Notice Filing
12.207: Fiduciary Duty of Broker-dealers and Agents