Thursday, January 3, 2013

Massachusetts: Investment Advisory Contracts Survey

Attention: Massachusetts State-Registered RIAs

The Massachusetts Security Division issued a survey regarding the content of your investment advisory agreements on January 2, 2013. The due date for the survey is Friday, January 18, 2013. Here's a copy of the survey --

The Securities Division requests that the completed survey by mailed to their office or emailed to We suggest email so you have a copy with your stored records.

While this survey is not mandatory, AdvisorAssist does suggest that you complete this survey.

Please post a copy of the complete draft survey to your Advisor Portal or email to If you have any questions, please indicate on the posting or email.

Thank you.

The AdvisorAssist Team


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