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Is a broker-dealer registered with the Massachusetts Securities Division required to file an annual financial report with the Division?

April 26, 2017annual broker-dealer division file financial report Massachusetts registered securities

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Is a broker-dealer registered with the Massachusetts Securities Division required to file an annual financial report with the Division?

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No, broker-dealers are no longer required to file a copy of the annual financial report with the Division. That requirement, once required pursuant to 950 CMR § 12.203(4)(a), has been amended.