• Formation and registration of investment adviser firms
  • Advice concerning the implications of the Dodd-Frank Act and related rulemaking
  • Drafting and reviewing client agreements
  • Implementing compliance policies and procedures
  • Advice regarding insider trading, pay-to-pay, and social media policies
  • Regulatory filings under the Investment Advisers Act of 1940, including Form ADV
  • Advice related to the Investment Advisers Act of 1940
  • Advice related to exemptions under the Investment Company Act of 1940
  • Commodity Futures Trading Commission exemptions and compliance matters
  • Form 13(F) filings for institutional investment managers
  • Schedule 13(D) and 13(G) filings
  • Form 13(H) large trader reporting
  • Assistance with responding to requests for information from the SEC, the Alabama Securities Commission, and other state securities regulators
  • Reviewing advertisements and other marketing materials
  • Evaluating various soft dollar arrangements
Attorneys and Other Professionals in Investment Adviser Compliance