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On February 15, 2018, the Enforcement Section of the Massachusetts Securities Division (the “Division”) of the Office of the Secretary of the Commonwealth charged a registered broker-dealer (the “Broker-Dealer”) that operated in Massachusetts with violating its own internal policies designed to ensure compliance with the U.S. Department of Labor’s (the “DOL”) Fiduciary Rule.

First State Charges Broker-Dealer in Connection with Violations of DOL Fiduciary Rule

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On February 15, 2018, the Enforcement Section of the Massachusetts Securities Division (the “Division”) of the Office of the Secretary of the Commonwealth charged a registered broker-dealer (the “Broker-Dealer”) that operated in Massachusetts with violating its own internal policies designed to ensure compliance with the U.S. Department of Labor’s (the “DOL”) Fiduciary Rule. Read our article on <a target="_blank" href="https://www.bdiaregulator.com/2018/02/first-state-charges-broker-dealer-in-connection-with-violations-of-dol-fiduciary-rule/">the implications of this development</a>.

First State Charges Broker-Dealer in Connection with Violations of DOL Fiduciary Rule