Securities Division, William Francis Galvin, Secretary of the Commonwealth
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Policy Statements

Proposed Regulation Which Will Require Investment Advisers and Investment Adviser Representatives to Use the IARD and the CRD

Positive Net Worth Requirements for
Certain Investment Advisers

Regarding Agent Applications

Annual Financial Reports

Recognized Securities Manuals

IAR Series 65 and Series 66 Examination Requirements

Regarding Sponsorship of Non-NASD Candidates Taking Securities Examinations Administered by NASD

IAR Examination and Certification Requirements

Federal Covered Advisers/Part II Form ADV

When an IA and/or IAR Registration
Application is Deemed Filed with the Division

SEC Rules Regarding Compliance Programs
for Investment Advisers and Investment Adviser Code of Ethics

 
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