Blue Sky MLS

Blue Sky MLS, Inc. (‘BSMLS’) is one of the original outsource providers for individual companies and the financial industry, offering comprehensive services for blue sky administration. For more than 30 years, BSMLS has been providing cost-effective solutions for compliance and registration requirements of public and private companies, mutual funds, hedge funds, broker-dealers, and investment advisors for a diverse client base, including investment companies, law firms, fund administrators, CPAs, broker-dealers, investment advisors and individual public and private companies.

Our staff is comprised of experienced individuals with diverse backgrounds that blend with our goal of maintaining exceptional client services. The regular interaction of our staff with federal and state agencies offers Blue Sky MLS, Inc. the ability to provide the best outsourcing services in the industry.

Our Services

We serve a diverse client type consisting of mutual funds, fund administrators, hedge funds, law firms, broker-dealers and investment advisors, as well as other compliance firms lacking blue sky expertise. Positioned as a value provider, our pricing tier can generate meaningful savings, especially if compared to a law firm services.

Mutual Funds image

Mutual Funds

  • See significant expense reduction for
    • Securities Filing Registration Staff
    • Research and Development
  • Processing built for speed to market.
  • Unique, flexible patent-pending system offered nowhere else in the industry.
  • Our proprietary automated system provides faster processing with greater accuracy than competitors.
  • Reduced risk to your firm; we have over 30 years of established experience.
  • serviced by experienced industry professionals-former examiners, compliance officers, attorneys, and Blue Sky/SEC experts.
  • International knowledge and product support.
Public Offering / Private Offering image

Public Offering/ Private Offering

  • Client Consultation.
  • Review offering with counsel for applicable exemptions.
  • Review and analyze your current filing structure:
    • Regulations A
    • Regulations S
    • SB- 1
    • Exemptions – if applicable
    • Secondary Market Options
    • Etc.
  • Produce all forms from the Blue Sky MLS database and file with the states.
  • Submit all forms to the client/issuer on a one-time basis for manual execution and notarization.
  • File all documents with the applicable states.
    • Coordinate SEC filing with each state to allow for expedited review and simultaneous registration.
  • Follow up on the status of each filing and handle comments for the examiners requesting additional documents.
  • File all post-effective documents with each state upon effectiveness.
  • Supply client with a detailed report on the status of each state’s registration
  • Maintain files containing copies of all correspondence and documents filed with the applicable states.
  • File all amendments at client’s request
  • File all sales reports and termination filings at close of an offering.
Investment Advisor / Broker Dealer image

Broker-Dealer/ Investment Advisor

  • Blue Sky MLS, Inc. (‘BSMLS’) assists registered Broker-Dealers (BDs) through the development of a customized compliance program, the adoption of written policies and procedures, Chief Compliance Officer (CCO) support, and the execution of annual program reviews. BSMLS provides year-round assistance to BDs, on a retainer basis, to facilitate the regulatory compliance. When your CCO is named, a BSMLS consultant can be engaged to perform the following.
  • Whether you are an Adviser to a Private fund or want your own fee-based business for Professional Asset Management and Financial Planning, we can assist in registering you as an Investment Adviser.

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