SEC Registered Funds

Spicer Jeffries LLP has provided audit and tax services to SEC registered entities since 1986, including Mutual Funds, Exchange-Traded Funds (ETFs) and those regulated by the Commodities Futures Trading Commission (CFTC).  Spicer Jeffries has also serviced several mutual funds, including newly created funds to established fund families.  Our extensive service in the securities industry along with our knowledge of SEC rules and regulations has allowed us to serve these particular clients with great success.   Due to the heightened regulatory environment that SEC registered entities must operate in, it is crucial that third-party business partners be both highly competent and experienced in the industry and its many nuances.  Spicer Jeffries is exactly the type of firm that can provide expertise and knowledge while still maintaining a close working relationship with the client.

Our SEC Registered clients include:

  • Securities Act of 1933 non-issuer Commmodity Pools
  • Exchange Traded Funds (ETFs)
    •      - Commodity ETFs
    •      - Index ETFs
  • Mutual Funds (traditional and alternative investments) 


Spicer Services  

Spicer Jeffries offers its tax, audit, accounting, and consulting services to SEC registered entities.  The firm and its partners have experience with many SEC filings, including IPO’s, secondary offerings, proxies, 10-K’s, 8-K’s, 10-Q’s and N-CSR's.  The firm and its partners have audited over 70 public entities and is a registered public accounting firm with the PCAOB; a requirement of all SEC registered firm’s auditors.   Spicer Jeffries has also been instrumental in helping sponsors form agreements with market makers for ETF creation baskets.  Additionally, Spicer has aided clients in the initial filing of Forms S-1 and N-1A with the SEC and has provided consultation with the sponsor and its attorneys in response to SEC comment letters.

Spicer Jeffries tax department will work in tandem with the client to determine the tax effects of the registered entity’s different business functions, as well as its business structure.  Early consultations between the tax department and client are encouraged when firms are preparing to launch new investment vehicles or business lines.


If you would you like to speak with someone at Spicer Jeffries regarding our SEC Registered Funds services, please contact us directly at (303) 753-1959 or by email:

Bob Yurglich
(303) 515-5300
Sean Tafaro
(303) 515-5302