Secretary of the Commonwealth of Massachusetts William Francis Galvin

Menu

Popular Features

• File a Complaint
• Enforcement Actions
• Securities Registration & Exemption FAQs
• RICE FAQs

Welcome to the Securities Division of the Office of the Secretary of the Commonwealth.

Corporate Finance

• Corporate Filing Fees and Regulations
• Filing Guidance

Division Information

• Alerts
• Division Overview
• Massachusetts Uniform Securities Act & Regulations
• Orders and Regulations
• Securities Resources

Enforcement

• Enforcement Actions
• Enforcement Overview

Investors

• File a Complaint
• Investor Education: Programs and Resources
• Research Brokers, Investment Firms, and Advisors

Registrations, Inspections, Compliance, and Examinations Section (RICE)

• Policy Statements
• Register as a Broker-Dealer or Agent
• Register as an Investment Adviser or Representative
• Registration FAQs
• Registration Fees
• Registration Forms