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.

  • 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 Street NW, Washington, DC 20005
44 Cook Street, Suite 640, Denver, CO 80206

This website uses cookies to ensure that we give you the best experience on our website. This cookie data is anonymous, read about how we use cookies and how you can control them in our Cookie Notice. Otherwise, we’ll assume you’re OK to continue. Find out more.