Regulatory SEC Filings

Regulatory SEC Filings

Our regulatory filing services at MAH Advising, LLC (“MAH”) include entity formations, registrations, SEC filings, and disclosure document submissions. In light of the rapidly evolving regulatory landscape, our attorneys put forth great effort to develop a thorough understanding of your company.

The MAH attorneys and specialists can help with the following filings and requirements for regulatory approval:

  • Form ADV submissions and renewals
  • U4/U5 Form
  • Forms 13F, G, H, or D filings
  • Corporate registrations
  • Blue sky filings*
  • Business formation (LLCs, S corps, etc.)
  • Application procedures for the SEC and FINRA
  • Assistance with the completion of all registration documents, including Forms BD (and BR), Form NMA, Business Plan, and Submission of Supporting Documents

MAH will collaborate with you to fully understand your business registration requirements. We will maintain an open line of communication with you about the status of your filings and our interactions with the relevant regulatory agencies throughout the project.

*In general, “blue sky” filings are required in each state where an investor resides upon such a deal or sale of securities. Compliance with each state’s blue sky requirements is crucial for issuers seeking investors throughout multiple states. MAH can help you prepare your filings and ensure that you meet the various deadlines and “blue sky” requirements for every applicable state.