MGL
Compliance Alert Archives
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
Back to Current Alerts
ALERT 68 SEC - Requirement for Reliance on Exemption - December 14, 2005
ALERT 67 Nevada Department of Taxation - Now Being Enforced - December 12, 2005
ALERT 66 Secretary of State Annual Report Filings For Ca & Nv - December 7, 2005
ALERT 65 LA Non-Resident Insurance License Renewals - November 29, 2005
ALERT 64 SEC - New Proposed Soft Dollar Guidelines - November 14, 2005
ALERT 63 Ammended Form BR and Form U-4 - November 14, 2005
ALERT 62 FL Dept. of Ins. - Agency Licensing and Registration - November 14, 2005
ALERT 61 NASD Prohibits Trading Ahead of Customer M.O. - November 9, 2005
ALERT 60 NASD Roll Back of Supervisory Control - November 8, 2005
ALERT 59 NASD Rule 2790 Definition of New Issue Changed - November 3, 2005
ALERT 58 2005 Year End Compliance Checklist - November 1, 2005
ALERT 57 NASD Issues Branch Office Definition - October 27, 2005
ALERT 56 MSRB Rule G-40 Update - October 26, 2005
ALERT 55 NASD Requesting Supervisory Control Date Roll Back - October 19, 2005
ALERT 54 NASD Enforcement Activity Accommodation Forgery - October 6, 2005
ALERT 53 Certain BD activities deemed IA - October 3, 2005
ALERT 52 NASD Hot Enforcement Areas - July 13, 2005
ALERT 51 NASD Requires Annual Compliance Meetings - July 8, 2005
ALERT 50 Continuing Education - Second Quarter - June 30, 2005
ALERT 49 Are Anti-Money Laundering Procedures Required? - IA - May 18, 2005
ALERT 48 Annual Review of Policies and Procedures - Advisory Firms - May 13, 2005
ALERT 47 Investment Advisor Compliance Issues for 2005 - April 12, 2005
ALERT 46 SEC Electronic Part II of Form ADV is on the Horizon! - April 5, 2005
ALERT 45 SEC Disposal Rule - March 4, 2005
ALERT 44 Accredited Investor Benchmarks - February 28, 2005
ALERT 43 Broker-Dealers and Finders - February 28, 2005
ALERT 42 FinCEN - New Reporting System - February 1, 2005
ALERT 41 Investment Advisers - First Quarter 2005 - Jamuary 31, 2005
ALERT 40 AML Issues / Frequent Violations / SARs Statistics - December 7, 2004
ALERT 39 NASD Focus - Emergancy Contact Information & BCP - November 15, 2004
ALERT 38 NASD Changes Internal Inspection Rules - October 21, 2004
ALERT 37 California Variable Product License CE Requirements - October 14, 2004
ALERT 36 Public Company Accounting Oversight Board - October 1, 2004
ALERT 35 MGL Reminder - 2004 Year End Compliance Checklist - September 30, 2004
ALERT 34 Missouri Resident and Non-Resident Agent Licenses - September 23, 2004
ALERT 33 Georgia Resident and Non-resident Renewals - September 15, 2004
ALERT 32 NRAB Important Reminder Regarding Insurance Licensing - July 19, 2004
ALERT 31 MGL Second Quarter Continuing Education Reminder - June 16, 2004
ALERT 30 SEC Requires Investment Advisers Code of Ethics - June 16, 2004
ALERT 29 NASD rule change requires contact reporting quarterly - June 7, 2004
ALERT 28 Insurance Clients need to update address information - May 5, 2004
ALERT 27 Ownership buyout obligations may have net capital issues - May 3, 2004
ALERT 26 New Rule 2790 Governs Sales of Initial Public Offerings - April 21, 2004
ALERT 25 The State of Missouri has instituted House Bill 600 - April 8, 2004
ALERT 24 Firm Element Continuing Education Training by March 31st - March 11, 2004
ALERT 23 New York Agent License Renewal - March 1, 2004
ALERT 22 NASD Requests Comment on Proposed Amendments - February 5, 2004
ALERT 21 NASD announces new NASD Contact System - January 21, 2004
ALERT 20 SEC approves Investment Compliance Programs - January 13, 2004
ALERT 18 New Books and Records Rules Take Effect 05/2/03 - March 23, 2003
ALERT 17 2003 Year End Compliance Checklist - November 28, 2003
ALERT 16 Anti-Money Laundering Rules Affecting IA - April 29, 2003
ALERT 15 Upcoming NASD Deadlines - April 29, 2003
ALERT 14 New Books and Records Rules Take Effect 05/2/03 - March 23, 2003
ALERT 13 Compliance Programs of Investment Companies & Advisers - February 18, 2003
ALERT 12 New Rule: Proxy Voting by Investment Advisers - February 14, 2003
ALERT 11 Investment Advisors - Annual Compliance Assessment - January 8, 2003
ALERT 10 NASD WebCRD Hits Overload - January 3, 2003
ALERT 9 NASD Scrutinizes Expense Sharing Agreements - December 20, 2002
ALERT 8 SEC Approves New NASD Rule 2315 - October 1, 2002
ALERT 7 NASD Examination Priorities - September 15, 2002
ALERT 6 NASD Requires Web-site Disclosure Statements - September 1, 2002
ALERT 5 IA Press Interview Guidelines - August 15, 2002
ALERT 4 Deposit Not An Allowable Asset - August 1, 2002
ALERT 3 Advance Advisory Fees - July 15, 2002
ALERT 2 The US PATRIOT Act - April 8, 2002
ALERT 1 Written Supervisory Procedures - March 27, 2002
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