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:

January 11, 2012

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

HAPPY NEW YEAR; MORE STUFF TO DO

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
      • Nov 17, 2011 - REMINDER: FINRA Rule 4360
      • Nov 1, 2011 - MGL announces the addition of Lemitra Rhodes to its staff!
      • 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.

       

  • Industry News
      • Dec 9, 2011 - Another MF Global question: How much risk can one risk manager bear? (Thomson Reuters Accelus)
      • Nov 9, 2011 - U.S. futures self-regulator seeks quick details from members with assets held at MF Global... (Thomson Reuters Accelus)
      • Nov 7, 2011 - MF Global bankruptcy: What BDs need to know and do right now... (Thomson Reuters Accelus)