Thomas Ahmadifar

Thomas Ahmadifar primarily advises clients on regulatory issues under federal and state securities, commodity, and banking laws. He counsels broker-dealers on matters before the SEC, FINRA and other SROs, including business expansions, changes of control, membership applications and the trading practice rules. In his funds practice, Thomas advises clients in both the registered and private funds spaces. For clients in the registered fund space, he drafts SEC filings for mutual funds and exchange-traded funds, assists in responding to SEC examination requests, examines Section 15(c) materials on behalf of boards of trustees and reviews transactional agreements with service providers. For private fund clients, Thomas prepares offering documents, such as private placement memoranda and subscription documents. He also counsels investment advisers, both registered and exempt-reporting, on their federal and state registration and compliance obligations.