| Date: | 03/06/2020 |
|---|---|
| Organization: | Office of the Secretary of the Commonwealth |
| Regulatory Authority: | MGL c. 110A, § 412(a) |
| Official Version: | Purchase the official print version |
950 CMR 12.200 governs the registration and procedures of broker-dealers, agents, investment advisers, investment adviser representatives, or issuer-agents, as well as notice filing procedures for federal covered advisers.
Download a PDF copy of the regulation below.