Law Firm is seeking an Experienced Corporate Paralegal to join its team. The ideal candidate must have knowledge of SEC rules and using the EDGAR system, as well as experience with proxy statements for both domestic and foreign private issuers and scheduling meetings.
Responsibilities:
• Experience with registration statements including shelf, S-8, S-1, F-1, S-3, S-4 and F-3.
• Experience with 6-Ks and 8-Ks.
• Knowledge and experience with Forms 3, 4 and 5.
• Familiarity with Schedules 13D and 13G.
• Proofreading and filing simple SEC documents on own, without an Edgar agent.
• Experience communicating with transfer agents (AST), Broadridge, and DTC.
• Experience communicating with the CUSIP Bureau.
• Experience dealing with the SEC, FINRA and NYSE/Nasdaq.
• Preparing and Filing Form D electronically with the SEC.
• Notice filings with various states, esp. California (Blue Sky).
• Preparing and filing FINRA (for broker dealers) and IARD (for investment advisers), various items include:
o New membership applications
o Continuing membership applications
o Form BD initial filings and updates
o Form ADV initial filings and updates
• Maintaining and updating written supervisory procedures.
• Prepare standard documents for the formation, governance or dissolution of corporations, LPs and LLCs, including certificates and articles of incorporation or formation, by-laws and simple LLC/LP agreements, shareholder, director, member and partner resolutions, foreign qualifications and assumed name filings and NY LLC notice publication filings.
• Coordinate the pre-clearance and filing of documents for entity formations, amendments, and dissolutions with corporate service companies; order and review UCC, tax and judgment searches; obtain good standing certificates.
• Organize and maintain company minute books for entities; maintain stock ledgers and prepare stock certificates.
• Obtain IRS tax identification numbers.
• Prepare and file NY and DE annual tax and other periodic reports for entities.
• Review documents for due diligence purposes; maintain and organize electronic and physical due diligence materials.
• Assist with transactional closings and prepare closing binders.
• Proofread documents.
• NY Notary.
Helpful Requirements:
• Obtaining SEC codes for new filer.
• Knowledge of Intelligize, Westlaw, and Lexis.
• Experience taking the lead in small securities transactions and full correspondence with other counsel and with clients including all signature pages, etc.
• Cross-border experience, ., obtaining a notarization that the SEC would accept from a client in the . or China.
• Resourceful, persistent, and energetic facing bureaucracies and learning to navigate their electronic systems to achieve the goals of the client on time.
Salary:
Law Firm offers a competitive salary commensurate with experience – salary range $90K - $130K.
Law Firm is seeking an Experienced Corporate Paralegal to join its team. The ideal candidate must have knowledge of SEC rules and using the EDGAR system, as well as experience with proxy statements for both domestic and foreign private issuers and scheduling meetings.
Law Firm is looking for the following skills and experience in its new Corporate Paralegal:
• Experience with Registration Statements:
o Shelf
o S-8
o S-1
o F-1
o S-3
o S-4
o F-3
• Experience with 6-Ks and 8-Ks.
• Knowledge and experience with Forms 3, 4 and 5.
• Familiarity with Schedules 13D and 13G.
• Proofreading and filing simple SEC documents on own, without an Edgar agent.
• Experience communicating with transfer agents (AST), Broadridge, and DTC.
• Experience communicating with the CUSIP Bureau.
• Experience dealing with the SEC, FINRA and NYSE/Nasdaq.
• Preparing and Filing Form D electronically with the SEC.
• Notice filings with various states, esp. California (Blue Sky).
• Preparing and filing FINRA (for broker dealers) and IARD (for investment advisers), various items include:
o New membership applications
o Continuing membership applications
o Form BD initial filings and updates
o Form ADV initial filings and updates
• Maintaining and updating written supervisory procedures.
• Prepare standard documents for the formation, governance or dissolution of corporations,
