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General Information:
Massachusetts Securities Division Offers Guidelines on Investment Adviser Use of Social Media
(PDF, 41 KB)
About
the Securities Division
Report on Massachusetts Registered Investment Adviser's Use of Social Media
2012 Investment Adviser and Investment Adviser Representative Registration Renewals (PDF, 250 KB)
Policy Statement Regarding Changes to Part 2 of Form ADV
Standards for the Protection of Personal Information of Residents of the Commonwealth (PDF, 64 KB)
Deadline for Completion of the New Form U-4 Regulatory Action Questions
Secretary Galvin Issues
White Paper Opposing
Further Limitations on State Enforcement Power
(PDF, 160 KB)
December 10, 2008
Secretary Galvin Warns
of “Service Tax” Scam
Structured Products Guidance (PDF, 88 KB)
Secretary Galvin Warns Against Phony IRS E-Mails; Issues Tips On Detecting ‘Phishing’ Scams
Notice to State-Registered
Investment Advisers RE: Form ADV Part II
Notice
of Fee Increases
Effective August 7th, 2002
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Sections:
Enforcement
Corporate Finance
Licensing and Registration
Investor Education:
Investor Education Brochures
Investing Online Resource Center
Senior Investor Resource Center
Regulations Regarding
Senior Designations:
Regulations
Administrative Record (PDF, 2.2 MB)
Orders Recognizing Accreditation Organizations (PDF, 48KB)
Frequently Asked Questions
Other Topics:
Policy Statements
New Privacy
Requirements for State Registered Investment Adviser
Firms
Secretary
Galvin and the New England Pension Assistance Project
initiate new program
Statutes
and Regulations
Uniform
Forms
Tips
for Mutual Fund Filers
Frequently
Asked Questions
Online
Investor Complaint Form
Securities
Links
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Enforcement Actions:
Broker-Dealer Cited for Not Supervising Rogue Broker to Prevent Elder Financial Abuse; Elderly Woman’s Estate to Recover More Than $1 Million
May 17, 2012
Royal Bank of Canada Subsidiary agrees to $2.9 Million restitution to MA investors who purchased inverse leveraged exchage traded funds
May 2, 2012
Secretary Galvin Charges Grafton Investment Adviser Representative with Unregistered Activity
March 28, 2012
Secretary Galvin Charges Western Massachusetts Wind Power Company with Selling Unregistered Securities; Warns that the Current Crowdfunding Legislation Must Not Preempt the States
March 20, 2012
Secretary Galvin Fines State Street Global Advisors $5 Million For Role In Mortgage-Backed CDO
February 28, 2012
Secretary Galvin Accuses Three
Massachusetts Investment Advisers
of Investor Fraud
December 14, 2011
Secretary Galvin Charges
Wellesley Man with Defrauding
Ailing Elderly Woman
November 16, 2011
Secretary Galvin Charges
BNY Mellon with Defrauding State Pension Funds of Millions in Foreign Exchange Transactions
October 26, 2011
Secretary Galvin Charges
West Boylston Man With
Defrauding Older Investors
August 1, 2011
Goldman Sachs Fined
$10 Million; Halts The Huddles
June 9, 2011
Securities America Agrees to Make Investors Whole In Settlement of Private Placement Securities Case
May 23, 2011
Secretary Galvin Charges Auto Loan Operation with Fraud in Connection with the Sales of Unregistered Securities
April 14, 2011
Secretary Galvin Moves to Shut Down Hedge Fund That Used Expert Consultant to Get Inside Information
March 9, 2011
Secretary Galvin Charges Two Firms in Foreign Exchange Schemes; Warns of Scams in Uncertain Times
March 3, 2011
Enforcement Actions Archives
(2007 - 2010) |
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