Regulatory

Chicago Registered Investment Adviser, Money Management Attorney and Hedge Fund Attorney

Chicago RIA and Money Management Lawyer

money-managementMay 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

securities-attorneyMay 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.

 

New Member Applications (NMA) and Continuing Member Applications (CMA) Attorney

Chicago FINRA 1013 and 1017 Lawyer

May Law, PC represents underwriters and selling agents in private placements, advising on due diligence, syndication and related problems. The Firm concentrates on securities and options industry, asset purchases, merger, reorganizations, as well as new member applications (NMA) under NASD Rule 1013, completing Form NMA and continuing member applications (CMA) under NASD Rule 1017 to self-regulatory organizations like Financial Industry Regulatory Authority (FINRA).

May Law, PC takes the time to learn about its clients and their businesses so we can assist and guide them to not only meet but exceed challenges faced. We are committed to providing experienced and skilled investment counsel attuned to local, national and international clientele’s objectives and diverse needs. The firm thinks of its role as more than providing legal advice but acting as counselor to its clients. May Law, PC provides cost-effective, innovative and vigorous solutions and strategies to the profession of law. Clients coming to the firm from other attorneys and law firms appreciate the firm’s on-time and on-budget philosophy.

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… Click Here to Read More