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.



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 ALERT 129 ...BD 2009 Year End Compliance Checklist... - November 9, 2009
 ALERT 128 ...Quarterly Compliance Teleconference... - November 9, 2009
 ALERT 127 ...Annual Compliance Meetings... - August 18, 2009
 ALERT 126 New Limited Registration for Investment Bankers - August 3, 2009
 ALERT 125 Insider Trading is Still on the SEC's Radar - July 22, 2009
 ALERT 124 Reinstitutes SIPC-6 - General Assessment - July 2, 2009
 ALERT 123 SEC Fines Firm, Principals $1M+ - June 25, 2009
 ALERT 122 New Registration for Investment Bankers Proposed by FINRA - April 22, 2009
 ALERT 121 Investment Advisory Best Execution Testing - April 4, 2009
 ALERT 120 IA Informed Consent, Fiduciary Duty and the Culture of Compliance - March 16, 2009
 ALERT 119 PCAOB Auditor Deadline Becomes Effective - February 19, 2009
 ALERT 118 Annual Financial Audits Filing Requirements - February 17, 2009
 ALERT 117 State of Alabama 2008 Annual Surplus Lines Tax Filings - February 17, 2009
 ALERT 116 SEC Clarifies Status of Fixed Indexed Annuities - February 9, 2009
 ALERT 115 Annual Audit Filings - December 23, 2008
 ALERT 114 FINRA RULEBOOK UPDATE - December 8, 2008
 ALERT 113 BD - 2008 Year-End Compliance Checklist - November 25, 2008
 ALERT 112 Is your clearing deposit a non-allowable asset? - November 3, 2008
 ALERT 111 FINRA Targets Year-end Rollout of New Rulebook - October 29, 2008
 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