MGL News

MGL brings a unique combination of in depth senior regulatory experience together with hands on compliance experience, to provide our clients with insight.

 

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Whats New:

May 16th, 2012

MGL Consulting has pushed out a new compliance alert, click below to learn more

FINRA focusing in on Expense Sharing Agreements

Current News:

January 10, 2012

MGL Responds to Bloomberg Businessweek News Article. To read the full article click here.

Recent Events:

November 1, 2011

MGL supports NSCP 2011 Fall Conference with Sponsorship!
Held: October 16-18, 2011 in Baltimore, MD

 

  • MGL News
      • May 16, 2012 - FINRA focusing in on Expense Sharing Agreements
      • May 4, 2012 - 2012 Continuing Education Needs Analysis/Plan
      • April 19, 2012 - ADV Annual Ammendment
      • Jan 18, 2012 - 4 Strategies to Consider for Navigating Regulatory Overload
      • Jan 11, 2012 - Happy New Year, More Stuff to do!
      • Jan 10, 2012 - MGL Responds to Bloomberg Businessweek News Article
      • Nov 17, 2011 - REMINDER: FINRA Rule 4360
      • October 20, 2011 2011 Year-End Compliance Checklist Broker/Dealer
      • October 19, 2011 Finra gets Form PF Ruling
      • October 15, 2011 FINRA posts new regulatory notice requiring all member firms with 2011 fiscal year-ends of september 30th or later, to file their annual audits electronically.