Add Me!Close Menu Navigation

Site is currently under mini-construction to template...please enjoy articles...

Add Me!Open Categories Menu

Currently Browsing

Posts Tagged ‘ uniform registration forms ’

24 June
Posted in Legal Resources

Form U4 and Form U5 | Information About the Uniform Registration Forms for Broker-Dealers and Investment Advisors

Purpose of the Forms and Discussion of Recently ApprovedĀ Changes & Requirements The Financial Industry Regulatory Authority (FINRA), is the largest independent regulator for all securities firms doing business in the United States, and is the entity designated as the filing depository by the U.S. Securities and Exchange Commission for purposes [...]

Hedge Fund Legal Services

Cole-Frieman & Mallon LLP provides comprehensive legal services for new and existing hedge funds as well as for other investment management companies.

If you are thinking of starting a hedge fund or an incubator fund, please call Bart Mallon of Cole-Frieman & Mallon LLP today at
415-868-5345.

View Bart Mallon's profile on LinkedIn


Recommended Articles

Archives