Regulatory SEC Filings

Regulatory SEC Filings

Our regulatory filing services at MAH Advising, PLLC (“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.

Whether your company is seeking to absorb another or to sell to a competitor, it is essential to get an SEC compliance consultant on board early in the process to ensure that everything goes smoothly. MAH is one of best compliance law firms providing SEC filing service.

The experienced attorneys and SEC compliance consultants at our firm can help ensure that your company is complying with the SEC’s numerous rules and regulations. The SEC compliance consulting attorneys and consultants at MAH have extensive experience as former law enforcement officers in the SEC and in other financial regulatory agencies.

The MAH is a compliance law firm and a team of regulatory and compliance lawyers who 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 (PLLCs, 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

Regulatory compliance lawyers at 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 is one of the best compliance consultancy firms can help you prepare your filings and ensure that you meet the various deadlines and “blue sky” requirements for every applicable state.

Need help with regulatory SEC filings?

Contact MAH Advising PLLC for SEC filing documents, SEC filing forms, SEC corporate filings, Our compliance attorneys have very good experience in helping on matters related to sec regulatory filings and SEC online filing and u4 expungement.