950 CMR, 950 CMR 12.200 - Registration of Broker-Dealer, Agents, Investment Adviser, Investment Adviser Representatives and Notice of Filing Procedures for Federal Covered Advisers
- § 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
Notes
REGULATORY AUTHORITY
950 CMR 12.200: M.G.L. c. 110A, § 412(a).
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