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State-Specific Information

A. Massachusetts

The Massachusetts Securities Division has adopted a standard of conduct rule which highlights the nature of our relationship with you under the state's law.  Their rule, called “Fiduciary Duty of Broker-dealers and Agents,” imposes a duty of care and loyalty on broker-dealers and advisors when providing certain investment advice or making certain recommendations to Massachusetts investors.

B. Nevada

Nevada amended its Financial Planner statute to include broker-dealers and investment advisers and their representatives within the definition of a financial planner, and thus subject them to provisions of the Nevada financial planner law.