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Massachusetts proposes CORI

Attention all Massachusetts IAs who wish to file an application with the Mass Division of Securities for a Registered Investment Advisor. If passed, all future applications will require a Criminal Offender Record Information form more commonly known as a CORI. This was filed March 15, 2013 and the comment period ends May 15, 2013. Simply stated, any RIA application that does not include this will be deemed incomplete and will hold up the review and ultimately approval/denial of the application. You can find more information at http://www.sec.state.ma.us/sct/sctidx.htm.

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