MCG Comply FINRA Updates: Regulations and Compliance Insight

Finra Regulatory Notice 24-02: New Rules And End Of Temporary Relief Measures

FINRABy admin@1123 June 5, 2024

At MCG Consulting Services, we stay ahead of regulatory changes to ensure our clients remain compliant. The Financial Industry Regulatory Authority (FINRA) announced significant updates through Regulatory Notice 24-02. These updates include the adoption of FINRA Rule 3110.19 and FINRA Rule 3110.18, which introduce the Residential Supervisory Location designation and the Remote Inspections Pilot Program. …

FINRA Branch Inspections Readiness

Business Services, Compliance, FINRABy admin@1123 March 12, 2023

Covid-19 has arguably become one of the biggest challenges for society as a whole. The pandemic and economic crisis have created a plethora of operational and financial challenges that have unfolded on the financial industry.

MCG takeaways from 2019 SIFMA Conference Part 1

Compliance, Digital CurrencyBy admin@1123 March 13, 2023

MCG takeaways from 2019 SIFMA Conference C&L, Annual Seminar held March 24-27 at JW Marriott Desert Ridge, Phoenix AZ.

How to offer an ATS in the US Capital Markets

Compliance, Digital CurrencyBy admin@1123 March 13, 2023

To offer Cryptocurrency Trading in the US Capital Markets, you must start your own securities exchange or start your own Alternative Trading System (“ATS”).

Finra Regulatory Notice 24-02: New Rules And End Of Temporary Relief Measures

FINRA Branch Inspections Readiness

MCG takeaways from 2019 SIFMA Conference Part 1

How to offer an ATS in the US Capital Markets

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