Tag: Massachusetts
Massachusetts Supreme Judicial Court Upholds Fiduciary Duty Rule for Broker-Dealers
The regulation, challenged by Robinhood, requires broker-dealers to act as fiduciaries when providing investment advice to clients.
August 30, 2023
Tags: Fiduciary, Massachusetts, NSMIA
Massachusetts Court Invalidates State’s Fiduciary Duty Rule
Massachusetts court declares the Massachusetts fiduciary duty rule invalid.
April 06, 2022
Tags: Fiduciary Duty, Massachusetts, Reg BI, SEC, State Laws
SEC Charges Dual-Registrant in Connection with Share Class Disclosures and Principal Trading Violations November 25, 2019 The SEC filed a complaint against a Massachusetts-based dual-registrant for failing to disclose...
November 25, 2019
Tags: Dual Registrant, Massachusetts, SEC Enforcement, Share Class Disclosure
Massachusetts Holds Hearing on Fiduciary Proposal
Massachusetts Holds Hearing on Fiduciary Proposal Securities Division Says SEC’s Reg BI Fails to Protect Investors from Conflicts of Interest Updated January 16, 2020 The Massachusetts Securities Division issued...
January 16, 2020
Tags: Fiduciary, Massachusetts, Preemption, States
Massachusetts Issues Fiduciary Proposal, Sets January 7 Hearing
Massachusetts Issues Fiduciary Proposal, Sets January 7 Hearing Securities Division Says SEC’s Reg BI Fails to Protect Investors from Conflicts of Interest December 18, 2019 The Massachusetts Securities Division...
December 18, 2019
Tags: Fiduciary, Massachusetts, Preemption, States
In a Victory for IAA Advocacy, Massachusetts Drops SEC-Registered Investment Advisers, Representatives from Fiduciary Standard of Conduct Regulations February 21, 2020 As advocated by the IAA, the Massachusetts Securities...
February 21, 2020
Tags: Fiduciary, Massachusetts, States
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