Year-End Branch Reviews: What Should Be on Your FINRA Inspection Checklist? | MCG Consulting MCG Consulting • Compliance Insights Year-End Branch Reviews: What Should Be on Your FINRA Inspection Checklist? Fall is the prime time to close out branch and office inspections before year-end reporting. This guide explains how to build a checklist that satisfies…
Regulatory Update · Broker-Dealer Compliance SEC Proposes Regulation E-Delivery: Are You Ready? A new SEC rule would flip electronic delivery from opt-in to opt-out; here’s what it means for your compliance program. By Maria Minguez, Senior Consultant, MCG Consulting | Updated August 2026 OOn July 16, 2026, the SEC proposed Reg E-Delivery: a sweeping new…
Cybersecurity & Financial Crime Compliance 7 Signals from FINRA’s 2026 Financial Crimes & Cybersecurity Conference What two days at the Conrad New York Downtown revealed about where financial crime and cyber risk are heading — and what broker-dealers can do about it. WW William A. White, Jr. — Sr. Consultant, MCG Consulting Connect on LinkedIn…
Compliance & Technology Risk AI Governance for Broker-Dealers: What Examiners Expect Now FINRA and the SEC already apply existing rules to AI. So, here’s the fast, visual breakdown of what your broker-dealer needs today, not someday. ⏱️ 4-Minute Read 🏛️ FINRA & SEC Compliance 🤖 AI Risk Management In nine seconds, an AI coding agent…
Regulatory Update FINRA Just Shortened Exam Retake Waiting Periods — Here’s What Your Firm Needs to Know By MCG Consulting | Compliance & Regulatory Insights | Updated July 2026 FINRA just made a big move. Candidates can now retake a failed exam much sooner. On June 29, 2026, FINRA filed a rule change. As a…
Regulatory Update ⏳ Comments due Sept 11, 2026 FINRA Wants to Rewrite the Rulebook on Broker-Dealer Communications — Here’s What’s Actually Changing Regulatory Notice 26-14 proposes the biggest overhaul of Rule 2210 in years: risk-based supervision instead of blanket pre-use approval, a technology-neutral framework built for AI-generated content, and two filing rules getting trimmed back.…
Regulatory Intelligence · June 2026 What’s Happening Now And What’s Coming Next The Financial Compliance Rule Calendar: 2026 & Beyond June 2026 deadlines are here. New rules are already in the pipeline. Here is every key date your firm needs to know and how to prepare before the window closes. By MCG Consulting | mcgcomply.com…
Regulatory Intelligence · June 2026 5 FINRA & SEC Compliance Trends Every Financial Firm Must Watch in 2026 Regulators have raised the bar. Here’s what the latest FINRA Oversight Report and SEC Examination Priorities mean for your firm—and what to do before examiners show up. By MCG Consulting | mcgcomply.com | 8-Minute Read In December…
June 3, 2026 is not a planning date. It is the enforcement date. If your firm has not updated its privacy and data safeguarding policies, you are out of compliance today What Changed And Why It Matters The SEC’s amended Regulation S-P governs the privacy of consumer financial information and the safeguarding of customer data.…
