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Providing insight and direction!

Upcoming Events

Conferences, Seminars, & Other industry Events 



Regulatory Quarterly Update

2022 Mid-Year Pitstop

OCTOBER 10-12, 2022

2022 Annual Conference & Trade Show

The Cosmopolitan of Las Vegas

November 9-10, 2022

2022 Small Firm Conference

Santa Monica, CA - Hybrid Event


2022 ORION

Location TBD

Past Events

FINRA Small Firm Conference

11/11-12/2020:  Santa Monica, California

The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff. Find out more here!

MGL Regulation BI: What You Need To Know.

3/26/2020:  Houston, Texas

This event is presented jointly by MGL Consulting, LLC and Jones Day. Planelists will include speakers from MGL Consulting, Jones Day and others to discuss Regulation BI, how to prepare and what to expect when the regulation becomes effective on June 30, 2020. Stay tuned for more information!

Service details

Regulatory Focus for 2022

What is on the horizon

Our Industry is one which sees constant change and growth. While there are many moving pieces, here are some issues from within the industry to look out for in the near future.  

A View From The Front Lines; Areas of Focus:

  1. Operational Issues:
    • Cybersecurity and Technology Governance
    • Cyber and Technology Risk Assessments
    • Emerging Technologies and Crypto-Assets
    • Anti-Money Laundering Programs and Suspicious Activity Reporting

  2. Sales Practice Issues:
    • Outside Business Activities and Private Securities Transactions
    • Funding Portals and Crowdfunding Offerings
    • Reg BI and Form CRS
    • Private Placements

  3. FINOP Issues:
    • Classification of Receivables, Liabilities and Revenue
    • Liquidity and Credit Risk Management
    • Expense Sharing Arrangements
    • Training and Guidance for new FINOPs

regulatory discussions 

and news from within the industry

While we know that not everyone can attend every conference or meeting, it is important to know what is being discussed, what is receiving increased attention and what you should be looking to in the future to ensure your Firm's success. Below is a small snapshot of some current industry topics.     


FINRA's top 5 stories from the FINRA 2020 Conference

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June 30, 2020


Highlights from FINRA's Reg BI Conference

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January 8, 2020


Examination Priorities: Cybersecurity and Technology Governance

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February 20, 2020