Securities

Ruddy Gregory assists clients with initial and ongoing regulatory needs associated with the SEC, Financial Industry Regulatory Authority (“FINRA”), and state regulatory agencies. Ruddy Gregory also serves as transactional counsel and assists clients with day-to-day business operations in the securities arena.

Our experience in securities law includes work in the following areas:

  • Organization of private investment partnerships (hedge funds) and other investment vehicles;
  • Investment adviser registration;
  • Preparation of investment adviser form ADV II;
  • Broker dealer registration;
  • Preparing for and responding to federal and self-regulatory examinations;
  • Drafting and negotiation of investment advisory contracts;
  • Drafting and negotiation of placement agent agreements, clearing agreements, OSJ agreements, and similar contracts;
  • Full-scale reviews of investment managers and broker-dealers for regulatory compliance;
  • Hedge fund due diligence;
  • Drafting and review of compliance and supervisory procedures; and
  • Anti-money laundering training and audits.
1225 15th ST NW Washington, DC 20005
44 Cook Street, Suite 320, Denver,
CO 80206
(DC)202-797-0762
(CO)303-398-7088
http://www.ruddylaw.com/