Broker Dealer

MCG will review your programs, identify potential risks for compliance violations, and provide information and training on applicable FINRA and SEC regulations.

  • New Member Application (“NMA”)
  • Continuing Membership Application (“CMA”)
  • Registration of Alternative Trading Systems (ATS)
  • Annual independent Reviews
  • Firm Element Training
  • Mock FINRA Review
  • Interim CCO services
  • Annual AML Reviews
  • Branch Office Reviews

MCG Consulting is a proud participant in FINRA’s Compliance Vendor Directory.