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Asgard Regulatory Group, LLC
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Author: Abbey Mirelli

8 Mar 2021

FINRA – 2021 Report on FINRA’S Examination and Risk Monitoring Program

Abbey Mirelli

In February 2021, FINRA replaced two...

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8 Feb 2021

SEC Charges Three Individuals in Digital Asset Frauds

Abbey Mirelli

On February 1st, 2021 the Securities...

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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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