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.
August 23, 2016
The SEC’s Division of Trading and Markets has written to FINRA to clarify when a broker-dealer must deduct from net worth under the net capital rule the collateral it posts as margin for cleared and
August 22, 2016
The SEC has issued an order approving a new set of rules drafted by the Financial Industry Regulatory Authority, Inc. (FINRA) to apply solely to firms that meet the definition of "capital acquisition