Spicer Jeffries LLP has been servicing funds registered with the Securities and Exchange Commission since the mid-1980s.  Working with registered fund clients requires a unique understanding of the securities business as well as the public markets and their reporting requirements.  The Spicer Jeffries solution to working with funds registered with the SEC blends our securities expertise with that of the needs of public companies. Due to the heightened regulatory environment that SEC registered funds 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 registered fund practice encompasses funds such as mutual funds, actively and indexed exchange traded funds and commodity pools registered under the Securities Act of 1933.  Our professionals have worked with fund sponsors form agreements with market makers for ETF creation baskets and has been involved in the initial filing of registration statements.