Policy Statements

Massachusetts-Registered Investment Adviser Compliance with Custody and Independent Verification Requirements (November 14, 2013) (PDF)

Policy Statement Regarding Compliance with Bonding Requirements for Advisers with Discretion

Policy Statement Regarding Automatic Registration

Policy Statement Regarding Changes to Part 2 of Form ADV

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

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

William Francis Galvin, Secretary of the Commonwealth of Massachusetts

Terms and Conditions