MASSACHUSETTS SECURITIES DIVISION
POLICY STATEMENT REGARDING THE FILING OF ANNUAL FINANCIAL REPORTS BY BROKER-DEALERS
February 27, 2009
The Financial Reporting and Notification Requirements of 950 CMR § 12.203 (4)(a) no longer require that a copy of the report required by SEC Rule 17a-5(d) (17 CFR 240.17a-5(d) be filed with the Division.
William Francis Galvin, Secretary of the Commonwealth of Massachusetts