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