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Foreside Fund Services, Llc.


Foreside Fund Services, Llc is a member of NASD, the National Association of Securities Dealers. NASD is a self-regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams. 

 Foreside Fund Services, LLC was previously called Forum Fund Services, LLC and was formed as a subsidiary of the Forum Financial Group of companies based in Portland, Maine. On January 1, 2006, Foreside restructured the organization into a holding company, Foreside Holdings, LLC, with two subsidiaries Foreside Fund Services, LLC which was the Broker Dealer and Foreside Compliance Services, LLC which provides investment company services.
 
Their experienced staffs are available to undertake compliance consulting assignments. Foreside Compliance Services, LLC offers an extensive variety of services to assist you with your fund compliance needs, from providing a named CCO, through to help with specific compliance projects.

Whether you have an established fund family or are working on a start-up fund, they have the tools and experienced staff to guide you through the securities regulatory compliance process. They will work with you and your chosen service providers to set up a new compliance program or to review and revise your existing program.

Their data library includes full fund financials database of every U.S. mutual fund going back to the mid nineties, Financial models for every pure-play public mutual fund companies, Morningstar ratings analysis and trends, estimated monthly flows into every mutual funds to current month, actual sales and redemptions as reported to the SEC up to 8 month lag, peer-groups-for-analysis creation techniques, etc.

Broker-Dealer maintenance maintain Broker-Dealer registration with states and NASD, submits renewal filings and state specific requirements, submits Annual reports to state jurisdictions and regulatory organizations, maintains relevant insurance, and also maintains Form BD.    

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