Securities: News and Updates Archives

Secretary Galvin Calls For Timely And Understandable Disclosure Of Changes In Employer 401K Plans (PDF)

Secretary Galvin Warns of Illegal Pyramid Schemes Disguised as Multi-Level Marketing Businesses (MLMs)

New CORI Requirements for Investment Adviser Representative Applications

Crowdfunding: Tips to Help Get You Ready for Equity Crowdfunding (PDF)

Switch Investment Advisers Report (PDF)

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

Secretary Galvin Urges SEC to Insist on Fiduciary Standards for Broker-Dealers – Releases Survey Results of MA IAs' Overwhelming Disapproval for Change in Fiduciary Standard

Protect Yourself from the “Grandparent Scam”

Secretary Galvin Proposes New Regulations Related to Investment Adviser Representative Registration

Secretary Galvin Raps Schwab for Arbitration Changes; Warns Investors to Monitor Amendments to Their Arbitration Agreements

Report on Massachusetts Investment Advisers' Use of Mandatory Pre-Dispute Arbitration Clauses

Secretary of the Commonwealth William F. Galvin Commends Mary Schapiro on her years as S.E.C. Chairman; Congratulates Commissioner Elisse Walter as New S.E.C. Chair (PDF)

Policy Statement Regarding Compliance with Bonding Requirements for Advisers with Discretion

Secretary Galvin Calls for Strong Rules on Crowdfunding (PDF)

Secretary Galvin Approves New Regulations (1/19/2012). Private Fund Exemption, Investment Adviser Discretion and Custody Requirements

The Massachusetts Securities Division Report on the Potential Impact of an SRO on Small State-Registered Advisers (PDF)

Massachusetts Securities Division Offers Guidelines on Investment Adviser Use of Social Media (PDF)

Report on Massachusetts Registered Investment Advisers' Use of Social Media

Policy Statement Regarding Changes to Part 2 of Form ADV

Standards for the Protection of Personal Information of Residents of the Commonwealth (PDF)

Secretary Galvin Warns of “Service Tax” Scam

Structured Products Guidance (PDF)

Secretary Galvin Warns Against Phony IRS E-Mails; Issues Tips On Detecting ‘Phishing’ Scams

Notice of State-Registered Investment Advisers RE: Form ADV Part II

Notice of Fee Increases Effective August 7th, 2002