On February 9, 2012, the Commodity Futures Trading Commission (“CFTC”) issued “Final Rules” rescinding or amending certain exclusions and exemptions to registration as a commodity trading advisor (“CTA”); as well as expanding the definition of who is a CTA.  Some … Read More

Last week, the Massachusetts Securities Division (the “Division”) adopted new regulations for investment advisers doing business within the State.  This included legislation relating to the use of expert network firms and other paid consultants, limitations on investment advisers from receiving … Read More