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Investment Adviser Compliance
OVERVIEW
  • 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
LIST OF ATTORNEYS AND OTHER PROFESSIONALS
PRIMARY CONTACTS
June 18, 2019
Maynard Cooper & Gale Joins Invention to Innovation Center at The University of Alabama in Huntsville as a Strategic Partner

Maynard Cooper & Gale is proud to announce that it has joined the Invention to Innovation Center (I2C) at the University of Alabama in Huntsville (UAH) as a strategic partner. I2C is a regional business incubator that is designed to…

May 31, 2019
Sasha Rao Article Featured in the Daily Journal — Electric Urban Air Taxis: Science Fiction or Legal Matter of Fact?

Click here for a download of this article from the Daily Journal. Many ideas that seemed far-fetched just 10 years ago are ubiquitous today. Ride-sharing applications are widely used. Self-driving cars have appeared on our road­ ways. Will electric air…