Careers

Diversity, Equity & Inclusion

Experience

Innovation

Interactive Maps

Locations

About

Pages

Meet our team of innovators
Ask us how we do it

Professionals

Insights

Services

Thompson Hine LLP, a full-service business law firm with approximately 400 lawyers in 8 offices, was ranked number 1 in the category “Most innovative North American law firms: New working models” by The Financial Times and was 1 of 7 firms shortlisted for The American Lawyer’s inaugural Legal Services Innovation Award. The firm has been recognized by the National Law Journal as a Legal Technology Trailblazer and featured by Bloomberg for its innovative service delivery models, which drive accuracy and predictability. The firm’s commitment to innovation is embodied in Thompson Hine SmartPaTHTM – a smarter way to work – predictable, efficient and aligned with client goals. For more information, please visit ThompsonHine.com and ThompsonHine.com/SmartPaTH.

Home | Thompson Hine LLP

Atlanta

Chicago

Cincinnati

Cleveland

Columbus

Dayton

Los Angeles

New York

Washington, D.C.

Does maintaining a place of business in the state trigger a notice filing (regardless of number of clients)?

core/paragraph

No 950 MASS. CODE&nbsp;REGS. 12.205(1)(b)(2017)

What is the maximum number of clients adviser can have in the state without triggering a notice filing?

If adviser has a place of business in the state – 0 950 MASS. CODE REGS. 12.205(1)(b)(2017)

If adviser has no place of business in the state - 5 950 MASS. CODE REGS. 12.205(1)(b)(2017) MASS. ANN. LAWS. ch. 110A, § 401(o) and (m) (2017)

What sorts of clients are not counted for purposes of determining whether to notice file?

Federal covered advisers, other investment advisers, broker-dealers, banks, savings institutions, trust companies, insurance companies, investment companies as defined in the Investment Company Act of 1940, employee benefit plans with assets of not less than $ 5,000,000, governmental agencies or instrumentalities, or other financial institutions or institutional buyers, whether acting for themselves or as trustees with investment control.

MASS. ANN. LAWS. ch. 110A, § 401(o) and (m) (2017)

core/separator

Viewing of these pages does not establish an attorney-client relationship. The information above is informational purposes only and should not be construed as legal advice. A lawyer should be consulted to confirm both applicability and any other issues that might affect or apply to your situation.

Massachusetts