Policy Statements
- Guidance on Investment Adviser Advertisements & Solicitors for Investment Advisers and Federal Covered Advisers (PDF)
- Guidance on the Use of Social Media by Investment Advisers (PDF)
- Standards for the Protection of Personal Information for Residents (PDF)
- Securities Division Issues Policy Statement State Registered Investment Advisers' Use of Third Party Robo-Advisers (PDF)
- Orders Recognizing Accreditation Organizations Under New Regulations
- Securities Division Issues Policy Statement Robo-Advisers / Fiduciary Standards (PDF)
- Massachusetts-Registered Investment Adviser Compliance with Custody and Independent Verification Requirements (December 2019) (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