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In-House
Legal Staff
Finance - Banking
Litigation - Whistleblower - CFTC
Investment Company Act Paralegal Candidate will have direct interaction with multiple clients on a daily basis. Will serve all client needs including preparation of registration statements and/or other regulatory filings required under the Investment Company Act, Investment Advisors Act, Securities Act of 1933 and Securities and Exchange Act of 1934. Prepare drafts of regulatory documents for various mutual funds, exchange traded funds and closed-end funds for filing with the U.S. Securities and Exchange Commission (SEC), including Forms N-1A, N-2, N-CSR, N-PX, XBRL, N-Q and N-14. Review and sign off on EDGAR versions of regulatory filings prior to them being sent to the SEC. Prepare, review, coordinate, and negotiate third party intermediary agreements on behalf of clients with broker-dealer firms. Work with attorneys to plan and prepare for the respective fund board and shareholder meetings. Draft and distribute legal documents, communications, resolutions, board meeting minutes, correspondence, notices, proxies, affidavits of mailing, agendas, ballots, and proxy statements. Assemble and review documents in response to subpoenas and regulatory reviews. Oversee the preparation and maintenance of multiple client regulatory filing and compliance calendars. Conduct legal research and compile data for attorneys, clients, and corporate personnel from various sources. Monitor and report on regulatory initiatives promulgated by various regulatory agencies such as the U.S. Securities and Exchange Commission and Financial Industry Regulatory Authority ("FINRA").
Auto req ID: 18066BR.
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