MGL
Compliance Alert
MGL
Compliance Alerts replace our current newsletter and permit us to make vital
information available to you immediately, rather than being news over the
last quarter.MGL AML Compliance Audit Tool
ALERT 110 FINRA Costs of Non-Compliance - October 2, 2008
ALERT 109 FINRA Rulebook Consolidation - September 22,2008
ALERT 108 Regulatory Update:REITs, Variable Product Advertising and Options - September 5, 2008
ALERT 107 Hurricane Advisory - September 11, 2008
ALERT 106 Series 24 Exam Changes - Effective February 12, 2008 - January 10, 2008
ALERT 105 BD - 2007 Year-End Compliance Checklist - December 4, 2007
ALERT 104 SEC - New NASD Rule Regarding Fairness Opinions - November 15, 2007
ALERT 103 FINRA Announces Small Firm Emergency Partner Pgm - November 6, 2007
ALERT 102 INS - New California Surplus Lines License Requirement - November 2, 2007
ALERT 101 SEC -Grants Temporary Relief - Principal Trading Rule - September 28, 2007
ALERT 100 AML Program Update - It Could Be Worse... - August 7, 2007
ALERT 99 AML Program Audit Deficiency Update - June 8, 2007
ALERT 98 NASD/NYSE Merger Update - June 5, 2007
ALERT 97 Department of Labor Implements IA Sweep Exams - June 1, 2007
ALERT 96 NASD - Noteworthy Enforcement Hot Topics - May 31, 2007
ALERT 95 NASD - Model Annuity Suitability Regulation - May 24, 2007
ALERT 94 SEC - Fee For Brokerage Accounts Ended - May 17, 2007
ALERT 93 TX - Unregistered IA Activities Subject to Penal Provisions - March 16, 2007
ALERT 92 TX - Commission Adopts Limited Registration For Finders - March 12, 2007
ALERT 91 NASD Exam Topics to Consider - Feb 27, 2007
ALERT 90 SEC Implements IA Risk Assessment Program - Feb 8, 2007
ALERT 89 AML Program Update: Focus on Beneficial Ownership - Feb 3, 2007
ALERT 88 BD - 2006 Year-End Compliance Checklist Broker/Dealer - November 8, 2006
ALERT 87 SEC - Investment Advisory Priorities For 2007 - October 24, 2006
ALERT 86 SEC - Comments on Exam Deficiencies and Other Issues - October 12, 2006
ALERT 85 Sale of Existing Variable Life Policies to 3rd Parties - October 5, 2006
ALERT 84 529 College Savings Plan Disclosures - August 28, 2006
ALERT 83 SEC - Update on IA Exam Results - August 3, 2006
ALERT 82 NASD - Evolving Compliance Issues - August 1, 2006
ALERT 81 Mock SEC/State Examinations - July 7, 2006
ALERT 80 NASD - Branch Office Inspection Update - June 23, 2006
ALERT 79 NASD - AML Compliance Program Update - June 8, 2006
ALERT 78 NASD - New Charitable Contributions Guidelines Issued - May 15, 2006
ALERT 77 NASD - Revised Sanction Guidelines - May 9, 2006
ALERT 76 NASD - Update on Short Interest Reporting - April 28, 2006
ALERT 75 INS - Kentucky Now Licenses Entities for Surplus Lines - April 4, 2006
ALERT 74 NASD - Form BR & Form U4 Filing Date Change - March 27, 2006
ALERT 73 SEC Announces Major BD / IA Study - March 24, 2006
ALERT 72 NASD - Amendments to AML Compliance Program Rule - March 23, 2006
ALERT 71 INS - Anti-Money Laundering Obligations Imposed - March 14, 2006
ALERT 70 NASD Completes Implementation of Rule 3012 - March 8, 2006
ALERT 69 SEC Focuses on Proxy Voting Policies and Procedures - March 8, 2006
Additional Alerts from the MGL Alert Archives