MA Fiduciary Proposal

Summary

SIFMA provides comment on the Massachusetts Securities Division’s proposed regulation “to apply a fiduciary conduct standard on brokerdealers, agents, investment advisers, and investment adviser representatives when dealing with their customers and clients.” SIFMA expresses concern the proposal, while well intentioned, will limit both the choices available to consumers and their access to one-on-one assistance.

See Press Release: SIFMA Comments on Massachusetts Fiduciary Rule Proposal (July 26, 2019)

Letters

MA Fiduciary Proposal

Issue

SEC Regulation Best Interest→

Summary

Submitted To

Massachusetts Securities Division

Submitted By

SIFMA

Date

Letters

MA Fiduciary Proposal

Issue

SEC Regulation Best Interest→

Summary

Submitted To

Massachusetts Securities Division

Submitted By

SIFMA

Date

More Submissions

Type:

Modernizing Communications and Record Retention Rules for Broker-Dealers,Investment Advisers, and Security-Based Swap Dealers (SIFMA and SIFMA AMG)

Type:

Notice of Filing of an Application for Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934 (SIFMA, SIFMA AMG and ICI)

Type:

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Methodology for its ORF as of January 2, 2026