New CORI Requirements for Investment
Adviser Representative Applications

The Office of the Secretary of the Commonwealth, Securities Division is registered under the provisions of MASS. GEN. LAWS c. 6, § 172 to receive and review Criminal Offender Record Information (“CORI”) for the purpose of screening current registrants and otherwise qualified prospective registrants. Subsequent to January 1, 2014 and pursuant to a change in Massachusetts Regulations at 950 MASS. CODE REGS. 12.205(2)(d)(1), each applicant for registration as an investment adviser representative in Massachusetts will be required to submit an executed CORI acknowledgement form to the Division as part of the application procedure. The CORI acknowledgement form is available below and is a required component of a complete application. The completed and executed CORI acknowledgement form shall be filed electronically with the Division via e-mail submission to the address CORI@sec.state.ma.us. An application for investment adviser representative registration will not be deemed complete and processed until the CORI acknowledgement form has been received by the Division. This requirement applies to all investment adviser representatives applying for registration in Massachusetts, irrespective of whether they are associated with state or federally registered investment advisers. This requirement shall not apply to applicants for annual renewal registration which have made their renewal filings timely with the Division.

Criminal Offender Record Information (CORI) Acknowledgement Form (PDF)