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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
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
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