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Asgard Regulatory Group, LLC
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Author: Abbey Mirelli

22 Oct 2020

FINRA Disciplinary Action: October 2020

Abbey Mirelli

Firms Fined BGC Financial, L.P On...

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14 Sep 2020

Protecting Senior Investors

Abbey Mirelli

On September 1, 2020 the Securities...

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18 Aug 2020

Virtual Business Entertainment

Abbey MirelliBroker Dealer Compliance, FINRA compliance consultants, FINRA Compliance Training, Investment Banking Compliance

FINRA Rule 3220 sets strict limits...

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22 Jul 2020

Cybersecurity: Ransomware Alert

Abbey MirelliAnti-money laundering test, Broker Dealer Compliance, Broker dealer compliance checklist, Broker dealer compliance consulting firms, Broker Dealer Compliance Requirements, FINRA compliance consultants, Outsourced compliance officer

The U.S Securities and Exchange Commission...

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Our Team

  • Jonathan Hurd, CAMS
  • Eden Turner, CAMS
  • Olivia Scuteri
  • Jenna Beekman
  • Sean Reddy
  • Abbey Mirelli

Asgard Regulatory Group, LLC.

3900 Veterans Memorial Highway
Suite 360, Bohemia, NY 11716

Contact Us:

(631) 801-2900

Email Us:

Email: inquire@asgardcompliance.com

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