Regulatory Compliance & Filings
SEC & FINRA registration guidance, ongoing compliance oversight, financial reporting requirements, and U4/U5 lifecycle filings.
Trusted Legal Counsel
Trusted Legal Counsel for Broker-Dealers & RIAs
MGH Law, PC delivers sophisticated compliance, registration, and risk management services tailored to the rigorous demands of small to mid-sized broker-dealers and registered investment advisers.
Why MGH Law
- Over 20 years of hands-on broker-dealer operations experience — not just legal theory.
- 12 industry licenses and deep platform expertise across Pershing, Schwab, Fidelity, and Goldman Sachs.
- Compliance frameworks built from the ground up, tailored to your firm's specific risk profile.
Our Services
MGH Law, PC provides comprehensive legal counsel and regulatory guidance tailored to the rigorous demands of small to mid-sized Broker-Dealers and Registered Investment Advisers.
Compliance Program Design
Licensing and infrastructure setup, Written Supervisory Procedures (WSPs), Codes of Ethics, and third-party compliance vendor coordination.
Consulting & Entity Registration
New broker-dealer formation (NMA), multijurisdictional SEC/FINRA/State registration, business structure guidance, and ongoing general counsel.
Contact Us
We invite you to schedule a formal consultation to discuss your firm's compliance or registration requirements. Contact our office to initiate a conflict check and schedule a confidential introductory meeting.
Schedule a Consultation