Info

Established in 1984, MGL is a leading provider of Registration and Compliance services to broker/dealers, investment advisors and insurance companies. For Broker/Dealer firms we provide FINRA, SEC, NFA, CFTC and multi-state registration and renewal services; Regulatory Consulting, WebCRD Administration services; Supervisory Procedures; Business Plans; Continuing Education services; Pre-licensing Training; Annual Compliance Meetings; Financial Reporting; and Compliance Examinations. For Investment Advisor firms, we provide SEC and state registration/renewal services, IARD Administration services, Form ADV disclosures, Supervisory Procedures, and Compliance Examinations. For Insurance Companies, we provide Firm and Agent Licensing and Appointment services, renewals, continuing education and background check capabilities. Our staff has over 200 years combined experience in the financial services industry. As Leaders in Registration and Compliance, we provide direction, solutions and unparalleled service.