BD- Massachusetts B-D and B-D Agent Registration Requirements

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The MA Broker-Dealer and Broker-Dealer Agent Registration Requirements highlight the steps necessary to register as a broker-dealer and broker-dealer agent in the State of Massachusetts pursuant to Massachusetts General Laws Chapter 110A Section 202 and 950 Mass. Code Regs. 12.202. Members also downloaded Massachusetts Broker-Dealer and Investment Adviser Registration Fees or Massachusetts Broker-Dealer Agent Affidavit for an Individual Waiving Automatic Registration or Massachusetts Broker-Dealer and Broker-Dealer Agent Deferral Request Form.

Version/Update: V.U/03/2020

Total Page Count/Format: 6/.pdf

Source/Author(s):  MA Securities Division