Chicago RIA and Money Management Lawyer
May Law, PC is actively involved in the organization and management of pooled money in the form of hedge funds and private funds. It advises money managers and RIAs and assists clients in operating hedge funds, including preparation of private placement memorandums (PPM), private offering memorandum (POM), Form PF, Form ADV Parts 1, 2A and 2B, Compliance Manuals and related documents as required by the JOBS Act and Dodd-Frank. The firm is capable of completing and filing Forms 13D and 13F through the SEC’s EDGAR Filing System and making filings on the CRD and IARD Systems.
May Law, PC, is a Chicago, Illinois, based law firm prepared to handle legal issues involving compliance, securities regulation, and helping businesses maintain best practices to prevent arbitrations, lawsuits and litigation. When faced with compliance issues; i.e. anti-money laundering (AML), disaster recovery, securities compliance, or manuals, May Law, PC, is prepared to secure business continuity and protect your personal interests.
Chicago Investment and Securities Attorney
Chicago Securities Attorney / Lawyer Knowledgeable on FINRA and SEC Related Problems
May Law, PC represents buyers and sellers in acquisitions of broker-dealers (BD), registered investment advisers (RIA) and other investment firms. In addition to the regulatory expertise necessary to effect such acquisitions in the investment industry, the firm has an extensive knowledge of the business considerations that are important in completing such acquisitions, representing either the buyer or seller. This knowledge is essential to successfully completing new member and continuing member applications before exchanges (CBOE, CHX and NYSE) and self-regulatory organizations such as Financial Industry Regulatory Association (FINRA) f/k/a National Association of Securities Dealers (NASD). The firm also organizes and obtains regulatory approvals for federally registered investment advisers (RIAs) and state registered investment advisers (RIAs).
May Law, PC takes pride in the fact that we provide more than legal advice but also act as a counselor to its clients. In addition, the firm takes its ethical rules, fiduciary responsibilities and treats law as a profession and not a business.
A Stockbroker’s Introduction to Investigations and Examinations Involving FINRA f/k/a NASD
Stockbrokers a/k/a registered representatives, associated persons and financial advisors often do not understand what their obligations and responsibilities are and what causes a Financial Industry Regulatory Authority (FINRA) examination or investigation. Many reps do not even know the role that FINRA plays within the industry. This may be due to the fact that FINRA, a self-regulatory organization, is not a government entity and therefore, cannot criminally prosecute or sentence financial professionals to jail time for violation of industry rules and regulations. Regardless, all broker-dealers doing business with the investing public must register with FINRA. As registered members, broker-dealers, and the representatives working for them, have agreed to abide by industry rules and regulations, which include FINRA’s own rules.