Welcome to the website of Ruddy Gregory, PLLC
Legal Counsel to the Alternative Investment Community®
Ruddy Gregory, PLLC (“Ruddy Gregory”) is a boutique law firm with offices in Washington, DC and Denver, CO. Ruddy Gregory provides legal advice to registered investment advisers, commodity futures registrants (IBs, FCMs, CPOs, and CTAs), hedge funds and other members of the alternative investment community. Ruddy Gregory assists clients with initial and ongoing regulatory needs associated with the National Futures Association (“NFA”), Commodity Futures Trading Commission (“CFTC”), Securities and Exchange Commission (“SEC”), Federal Energy Regulatory Commission (“FERC”), as well as other federal and state regulatory agencies. We have proudly offered these services since our inception in 2001.
The core client base of Ruddy Gregory consists of smaller brokerage and advisory firms – i.e. those firms with a single office or less than a dozen employees – that are seeking niche-oriented advice delivered with the highest quality of service. At the same time, the practice serves as legal counsel to futures commission merchants, larger investment firms, entrepreneurs from diverse industries, private equity funds, and venture capitalists. Ruddy Gregory also offers related business litigation services, including representation throughout civil proceedings and regulatory investigations.
April 29, 2016
The SEC staff issued a no-action position to the Investment Adviser Association offering relief from custody requirements as they apply to sub-advisers. Where an adviser maintains client investments,
April 25, 2016
The Office of Compliance Inspections and Examinations, the Division of Investment Management, and the Asset Management Unit of the Division of Enforcement hosted the SEC’s annual National Compliance