28 Aug 2011

Massachusetts Adopts New Regs

by | posted in: Registration & Licensing | 0

From the Massachusetts Securities Division: The Massachusetts Securities Division (the “Division”) is adopting, as amended from the original proposals, regulations found at 950 CMR 12.200 et. seq. (the “Regulations”). With the exception of 950 CMR 12.205(9)(c)(16), the adopted regulations shall … Continued

28 Aug 2011

Compliance Alert! Special Concerns

by | posted in: Alert!, Compliance | 0

Dear Compliance Professional, The Compliance Alert below was originally sent out in 2008. Unfortunately, recent market events make the subject matter relevant once again. We will also be sending out other pertinent Compliance Alerts from 2008-2009. Background The purpose of … Continued

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