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.

broker-dealer