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                  • July 29, 2019

                    SIFMA Weighs in on Massachusetts' Proposed Fiduciary Conduct Standard

                    SIFMA argued that the Massachusetts Securities Division should allow SEC Regulation Best Interest to be fully implemented before considering a state-specific fiduciary rule.
                    Steven.Lofchie@cwt.com's picture
                    Commentary by Steven Lofchie
                  • April 09, 2019

                    Massachusetts Securities Division Proposes Changes to Investment Adviser Disclosure Rules

                    The Massachusetts Securities Division of the Office of the Secretary of the Commonwealth proposed amendments to the state's disclosure regulations for registered investment advisers.
                  • January 23, 2019

                    MA Secretary of Commonwealth Files Complaint against BD for Violating State Securities Laws

                    The Enforcement Section of the Massachusetts Securities Division of the Office of the Secretary of the Commonwealth filed a Complaint against a broker-dealer and its agent for violating state securities laws.
                    Conor.Almquist@cwt.com's picture
                    Commentary by Conor Almquist
                  • May 02, 2018

                    Broker-Dealer Settles State Law Action Concerning Non-Exempt Securities

                    A broker-dealer agreed to settle state charges concerning supervisory deficiencies that resulted in the sale of unregistered, non-exempt securities to customers.
                    nihal.patel@cwt.com's picture
                    Commentary by Nihal Patel
                  • May 04, 2016

                    U.S. District Court Dismisses Complaint against FINRA

                    A U.S. District Court Judge dismissed a complaint against FINRA that alleged the agency acted outside the scope of its authority concerning a disciplinary matter.

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