Additional details about the proposed amendments, including background on the development of the Fee Table, can be accessed by opening the PDF attachment linked below.
Request for Public Comment (PDF)
Regulation, as amended (redline) (PDF)
Regulation, as amended (clean) (PDF)
Fee Table and Instructions (PDF)
Fillable Fee Table (DOCX)
Initial Small Business Impact Statement (PDF)
The Division should receive written comments on the proposed amended regulations no later than Friday, May 3, 2019 at 5:00 p.m.
We will post comments on the Massachusetts Securities Division website and comments are subject to public records laws. We do not edit personal identifying information from submissions; submit only information that you wish to make available publicly.
Please mail any comments on the proposed amendments to:
Office of the Secretary of the Commonwealth
Attn: Proposed Regulations – Fee Table
Massachusetts Securities Division
One Ashburton Place, Room 1701
Boston, MA 02108
Faxed comments may be sent to 617-248-0177. Comments sent via facsimile should include a cover sheet to the attention of “Proposed Regulations.”
Email comments or submissions of scanned comment letters attached to an email may be submitted to email@example.com.
If you have questions about either of the proposed amendments, you may contact Carol Anne Foehl, Esq. or Dylan White, Esq. at 617-727-3548.
A public hearing on these proposed changes will be held at 10:00 a.m. on Thursday, May 2, 2019 at One Ashburton Place, 17th Floor, Boston, MA 02108.
Interested parties will be afforded an opportunity to orally present data, views, and arguments relative to the proposed action. Written presentations may be made at the hearing or submitted at any time prior to the close of business on Friday, May 3, 2019 to the Massachusetts Securities Division via mail, facsimile, or email, as provided above.
May 3, 2019 - Brad Williams
May 3, 2019 - Financial Planning Association (PDF)
May 3, 2019 - Jay Lebed
May 3, 2019 - Paul Truesdell
May 2, 2019 - Institute for the Fiduciary Standard (PDF)
May 1, 2019 - Dustin Latham
May 1, 2019 - Douglas Beck
April 30, 2019 - John Kirby
April 30, 2019 - Chris Grande
April 30, 2019 - David H. McLaughlin
April 30, 2019 - Eric Bright
April 30, 2019 - Jeremy Bohne
April 30, 2019 - firstname.lastname@example.org
April 30, 2019 - Peggy McGillin
April 30, 2019 - Abraham McAllister
April 20, 2019 - Kieran Rooney
April 17, 2019 - William D’Annibale
April 17, 2019 - Bill Schretter
April 11, 2019 - John Boyle
April 9, 2019 - Jim Beaulieu
April 4, 2019 - Charlo Maurer
April 4, 2019 - Herbert Shanzer
April 4, 2019 - email@example.com
April 4, 2019 - Peter Canniff
April 3, 2019 - Abe Ringer
April 3, 2019 - Carlos Rodriguez
April 3, 2019 - Daniel J. Traub
April 3, 2019 - Harold Hallstein
April 3, 2019 - Michael R. Lopes
April 3, 2019 - Patrick Sheppard
April 3, 2019 - Peter C. Wernau